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Dechert LLP

1900 K STREET, NW, WASHINGTON DC 20006, USA
Tel:
Work +1 202 261 3330
Fax:
Fax +1 202 261 3333
Email:
Web:
www.dechert.com

Thomas C. Bogle

Tel:
Work +1 202 261 3360
Email:
Dechert LLP

Work Department

Financial Services and Investment Management

Career

Thomas C. Bogle advises financial services companies on a wide range of corporate, regulatory and enforcement matters. His clients include U.S. registered funds and their boards of directors, investment management firms, banks, broker-dealers and insurance companies. Mr. Bogle has particular experience advising registered funds, independent directors and investment advisers on the full range of issues under the federal securities laws, including the Investment Company Act of 1940, the Investment Advisers Act of 1940 and the provisions of the Dodd-Frank Act applicable to asset managers.

Mr. Bogle is actively engaged in the firm’s anti-money laundering and sanctions compliance practice. He regularly counsels U.S. and non-U.S. corporations, financial institutions and financial industry trade associations on matters relating to the Bank Secrecy Act and U.S. economic and trade sanctions administered by OFAC.

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


United States: Investment fund formation and management

Mutual/registered/ exchange-traded funds

Within: Mutual/registered/ exchange-traded funds

Dechert LLP's 'practical and pragmatic' team is in 'a class of its own when it comes to registered funds'. The group is 'able to handle a myriad of issues and can martial experts who know the law in various jurisdictions'. Based in the New York office, Allison Fumai ('a rock star' with 'deep knowledge of the ETF industry'), Richard Horowitz, Jeremy Senderowicz and Stuart Strauss provide ongoing advice to Morgan Stanley's mutual and closed-end funds. In Washington DC, Robert Helm is 'a true business consigliere', Douglas Dick is 'thoughtful and pragmatic', and Thomas Bogle is 'intelligent, astute and very responsive'; Brenden Carroll and Stephen Cohen are also key contacts. Boston-based John O’Hanlon advises a large mutual fund complex on regulatory issues and ETF launches. Stephanie Capistron, Christopher Harvey, Geoffrey Kenyon and Christopher Christian are also key names in the Boston office. Harvey and Helm jointly lead the practice. Other clients include MainStay Funds and Deutsche Bank ETFs.

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