Thomas C. Bogle


Thomas C. Bogle


Washington, D.C. | 1900 K Street, NW, Washington, DC, United States of America 20006-1110
+1 202 261 3360 | +1 202 261 3333


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.

Mr. Bogle has been recognized in The Legal 500 (US) in the area of mutual/registered funds, the most recent edition stating that he is “intelligent, astute and very responsive.” Since 2014, he has been listed annually in The Best Lawyers in America for mutual funds law. He has also been named as a “Rising Star” for Investment Funds by Euromoney/Legal Media Group in its Expert Guides series and as one of Fund Action’s Rising Stars of 2014.

Mr. Bogle serves as a member of the firm’s Washington office pro bono committee and as a leader of its non-profit and small business pro bono practice group. He is a member of the board of directors of Friends of New Orleans, Inc., and serves on the board of advisory editors of the Tulane Law Review.

Prior to attending law school, Mr. Bogle worked on Capitol Hill and for federal political campaign committees.

  • 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
  • New York
  • District of Columbia
Speaking Engagements
  • Securities Law Development Conference — Investment Company Institute, Webcast (September 24, 2020)
  • Challenges for Fund Boards in Light of COVID-19 — The Mutual Fund Directors Forum, Webinar (March 27, 2020)
  • U.S. Regulatory Priorities Seminar Series: Competition and Antitrust Considerations for Asset Managers — Dechert LLP, London, UK (May 21, 2019)
  • Academic and Practitioner Symposium on Mutual Funds and ETFS — Presented by the Investment Company Institute and the University of Virginia Darden School of Business' Richard A. Mayo Center for Asset Management, Arlington, VA (February 21-22, 2019)
  • Board Oversight of Variable Product Funds  The Mutual Fund Directors Forum, Webinar (November 7, 2018)
  • AML Risks within Wealth/Trust - FIRMA/Texas Bankers — Risk Issues & Compliance Seminar, Dallas, TX (November 2, 2018)
  • Employment Issues in the Asset Management Industry Seminar — Dechert LLP, Boston, MA (May 10, 2018)
  • Employment Issues in the Asset Management Industry Seminar  Dechert LLP, New York, NY (May 8, 2018)
  • Liquidity Risk Management and Data Reporting: Director Responsibilities Under the New SEC Rules — IDC Session at the Investment Company Institute's General Membership Meeting, Washington, D.C. (May 3-5, 2017)
  • An AML Blueprint: Tighten Controls and Satisfy FinCEN — IA Compliance: The Full 360° View –Compliance Solutions for a Rapidly Changing Regulatory World, Washington, D.C. (April 5-7, 2017)
  • Current Developments Affecting the Fund Industry  ICI Breakfast Briefing, Palm Desert, CA (March 14, 2017)
  • The SEC's New Fund Reporting and Liquidity Rules: What Do They Mean for the Fund Industry? — Presented by the Investment Company Institute, Boston (November 17, 2016)
  • Developments in Global Commodities and Derivatives Regulation — Dechert LLP, Philadelphia, PA (March 30, 2016)
  • Achieving AML Success in Light of FinCEN’s Coming Mandate — IA Compliance: The Full 360° View Presented by IA Watch, Washington, DC (February 25, 2016) 
  • Sanctions Risk for Asset Managers — Dechert LLP, London, UK (June 10, 2015)
  • Preparing for the Future of Global Customer Due Diligence — ACAMS money International AML & Financial Crime Conference, Hollywood, FL (March 18, 2015)
  • The Regulatory Outlook for Funds and Advisers: Domestic and Foreign Priorities — ICI Mutual Funds and Investment Management Conference, Palm Desert, CA (March 15, 2015)
  • SIFMA's Anti-Money Laundering and Financial Crimes Conference — New York, NY (February 25, 2015)
  • Discussion on the Latest Round of US and EU Sanctions Regarding Russia Announced on September 12 — Dechert LLP, Conference Call (September 16, 2014)
  • Discussion on the Latest Developments with Respect to US and EU Sanctions Regarding Russia — Dechert LLP, Conference Call (July 31, 2014)
  • Exploring the Latest Regulatory and Litigation Trends affecting Variable Products and Underlying Funds — Insured Retirement Institute's 2014 Government, Legal & Regulatory Conference, Washington, D.C. (June 29, 2014)
  • The Situation in Russia - Considerations for Fund Directors  Dechert LLP, Webinar (May 2, 2014)
  • Understanding the Impact of the US/EU and Russian Sanctions on Your Business  Dechert LLP, Conference Call (March 25, 2014)
  • Off the Beaten Path: How to Avoid Missteps When Investing in Emerging and Frontier Markets — ICI Mutual Funds and Investment Management Conference, Orlando, FL (March 17, 2014)
  • Anti-Money Laundering Risk Management and Monitoring — Dechert LLP, Webinar (May 21, 2013)
  • Legal Forum: Compliance with Anti-Corruption Laws and Economic Sanctions — Investment Company Institute General Membership Meeting, Washington, D.C. (May 1, 2013)
  • OFAC Compliance: A Deeper Dive from the Regulator’s Perspective — Presented by the Investment Company Institute and ICI Global, Webinar (September 27, 2012)
  • How U.S. and EU Sanctions Impact Funds and Asset Managers  Presented by the Investment Company Institute and ICI Global, Webinar (August 7, 2012)
  • Anti-Money Laundering Risk Management and Monitoring — Dechert LLP, Webinar (June 19, 2012)
  • Managing Anti-Money Laundering Risk: Best Practices and Effective Tools — National Regulatory Services 26th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference, Las Vegas, NV (October 26, 2011)
  • Anti-Money Laundering Developments and Trends — 2011 Anti-Money Laundering Discussion Forum Conference Presented by Invesco, Houston, Texas (October 20, 2011)
  • Whistleblower Issues for Asset Managers — Dechert LLP, Webinar (July 27, 2011)
  • Hot Topics: Anti-Corruption and Business Ethics — Investment Company Institute and Federal Bar Association 2011 Mutual Funds and Investment Management Conference, Palm Desert, CA (March 27, 2011)
  • Pay-to-Play: Advisers Act Rule 206(4)-5 — Dechert LLP, Webinar (November 9, 2010)
  • AML Programs Reloaded: Why Dodd-Frank May Change the Landscape for RIAs — Dechert LLP, Webinar (September 14, 2010)
  • Anti-Money Laundering Compliance in a Global Environment — Dechert LLP, Webinar (January 12, 2010)
  • Anti-Money Laundering: The Specific Duties of Transfer Agents — The STA Annual Conference, Naples, FL (October 23, 2007)
  • "Knowing Your Customer - Your Questions Answered” and “Suspicious Activity Reporting" — 2005 Anti-Money Laundering Workshop, Boston, MA (February 24, 2005)
  • Anti-Money Laundering Issues in the United States — Caribbean American Leadership Dialogue, Washington, DC (November 15, 2002)
  • Anti-Money Laundering Regulatory Developments in the Investment Management Industry — Investment Companies Committee of the Philadelphia Bar Association, Philadelphia, PA (November 13, 2002)