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PRACTICE AREAS

• Business Entity Formations and Related Operating Documents
• Private Fund, Investment Advisory, and Broker-Dealer Regulatory Compliance Matters
• Preparation of Policies and Procedures Manuals
• Filing of Forms ADV and Registration Forms
• Compliance Research, Writing and Support

Ms. Thompson serves as Compliance Analyst for CCLS, focusing her attention on compliance matters relating to client firm broker-dealers, investment advisers and private funds.  In addition to client service and development, Ms. Thompson provides compliance support for clients requiring day-to-day assistance with their compliance program, which may include SEC,  state blue sky filings,  updating and/or testing compliance policies and procedures, assisting with licensing and registration needs, authoring and evaluating various books and corporate records and enhancing compliance program development and related documents.

Prior to joining CCLS, Ms. Thompson worked as a Senior Corporate Paralegal for a wholly owned subsidiary of Credit Suisse (USA) in Salt Lake City, Utah.  Her responsibilities included, among other duties, assisting with all aspects of complex regulatory filings, identifying and assessing regulatory risks and recommending remedies, maintaining all necessary licensees with the federal government and applicable states, drafting various business contracts and securitization agreements, assisting with all corporate litigation matters, and management of the contract administration process for the company and its’ 8 subsidiaries. Ms. Thompson maintains exceptional client relations and management skills having assisted numerous clients in various fields of the law as a paralegal for the past 10 years.  Other prior experience includes working as a paralegal at a trademark licensing firm where she was responsible for drafting and ensuring execution of all trademark license agreements and managing infringement allegations and breach of contract matters.

EDUCATION

B.S., Legal Studies (Pre-Law), Kaplan University
A.S., Paralegal Studies, Kaplan University