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Diana McCarthy joined the firm in 1994 and is a partner in both the Investment Management and the Corporate and Securities Practice Groups.
Investment Management. Diana has substantial experience in representing a broad spectrum of investment management clients including: registered open- and closed-end investment companies; private investment entities; sponsors of unit investment trusts; sponsors of exchange-traded funds; and broker-dealers. She also has extensive experience in the creation of registered derivative investment and asset-backed products such as depositary receipt programs. In addition, she regularly counsels investment advisers on regulatory requirements, risk management and compliance issues, and has handled a number of reorganizations of investment products, acquisitions and mergers of investment companies and investment advisers. Her practice emphasizes legal, regulatory and structural issues related to the investment management business. She is a frequent lecturer on investment management issues.
Corporate and Securities. A substantial portion of Diana's corporate and securities practice involves the representation of issuers and underwriters in public offerings. She also has substantial experience in tender offers and 144A debt offerings and exchange offers and regularly counsels clients on federal securities law compliance. Diana's other corporate work has included representing both purchasers and sellers in acquisitions involving domestic and foreign entities, including leveraged buyouts. She has also advised clients involved in venture capital financing.
In General. Diana is a member of the Business Section of the American Bar Association, the Corporation, Banking and Business Law Sections of the Pennsylvania Bar Association and the Investment Companies Committee of the Philadelphia Bar Association. She is also a vice president and director of the Children's Aid Society of Pennsylvania. She is a member of the Pennsylvania bar. Prior to joining the firm, she was a clerk for United States District Court Judge Raymond Broderick in the Eastern District of Pennsylvania. | 