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Independent monitoring ensures compliance with client mandates, risk management guidelines and the requirements of federal and state regulatory authorities.

COMPLIANCE

Lane S. Bucklan, Esq.

Chief Administrative Officer, General Counsel and Chief Compliance Officer

Lane joined Iridian in 2003 and is responsible for all legal and compliance duties. He also serves as Chief Compliance Officer for Iridian's affiliate IAM Capital Corporation (a limited purpose broker/dealer). Previously, Lane worked as Vice President—Legal and Compliance and Chief Compliance Officer for Rochdale Investment Management LLC, Rochdale Securities Corporation and RIM Securities LLC. He also worked as a Financial Consultant with Salomon Smith Barney, House Counsel for the Development Corporation for Israel and Capital for Israel, and Compliance Counsel for Advest, Inc. Lane holds a BA from Hofstra University (1989), a JD from Western New England University School of Law (1992) and an LLM in Corporate Law from New York University School of Law (1993). He is a member of the New York, Connecticut and Massachusetts bars and serves as an arbitrator for FINRA Dispute Resolution, Inc.