Expert Profile
Diane C. Boone is the President of Asgard Management Group, LLC, a northern California-based consulting firm founded in 2000. Asgard provides compliance and regulatory management services, including the development and assessment of compliance programs, to a broad range of financial services clients. Diane has thirty years of compliance and audit experience with broker/dealers, mutual funds, banks, hedge funds and investment advisers. Prior to Asgard, Diane served as Regional Compliance Director for Deutsche Bank Securities, Inc., and Director of Investment Advisory Services for National Regulatory Services. She also held several positions at Charles Schwab & Co., Inc. during her 14 year tenure, including Vice President of Compliance for Schwab Institutional, Director of Compliance for SchwabFunds, Director of Branch Internal Audit, and Manager of Mutual Fund Trading. Diane is a member of the National Society of Compliance Professionals, International Association of Risk and Compliance Professionals, Open Compliance and Ethics Group, Women In Consulting, Association of Compliance Professionals, Ethics & Compliance Karma, and has trained as an NASD mediator.
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