About
Thomas C. Bogle advises financial services companies on corporate, regulatory, and enforcement matters, including U.S. registered funds, investment management firms, banks, broker-dealers, and insurance companies. He counsels clients on the Investment Company Act of 1940, the Investment Advisers Act of 1940, Dodd-Frank Act provisions for asset managers, and anti-money laundering and sanctions compliance under the Bank Secrecy Act and OFAC regulations.
Practice areas
Financial ServicesInvestment ManagementCorporate LawRegulatory ComplianceSecurities LawAnti-Money LaunderingSanctions Compliance
Office
Expertise
Registered FundsInvestment AdvisersIndependent DirectorsFederal Securities LawsBank Secrecy ActOFAC Sanctions
Education
- The George Washington University, B.A., cum laude
- Tulane University Law School, J.D., magna cum laude, senior board of the Tulane Law Review, Order of the Coif