Charles Thompson concentrates his practice in corporate and securities law, representing a mutual fund complex of 16 separate funds, and a variety of individuals and small and mid-sized private commercial firms. Mr. Thompson’s practice involves the preparation and filing of registration statements and related items under the Securities Act of 1933, the Investment Company Act of 1940, the Securities Exchange Act of 1940, and the Investment Advisers Act of 1940, and advice to clients respecting their compliance with these statutes and rules governing securities broker dealers.
Mr. Thompson's practice also involves assistance to clients in their compliance with the Sarbanes-Oxley Act of 2002 and other federal and state statutes, assistance to clients in preparation for regulatory examinations, the preparation of compliance policies and procedures, representation of lenders and investors in securities, preparation of documents and related advice respecting significant corporate transactions, advice to corporate governing boards and board committees, and the negotiation and consummation of a wide variety of commercial transactions respecting mergers, acquisitions, and dispositions of business entities, securities, and other forms of property.
Mr. Thompson was formerly associated with White, Koch, Kelly & McCarthy, P.A. in Santa Fe, New Mexico, until December 2005, when he formed Thompson, Rose & Hickey, P.A. of Santa Fe (now Thompson, Hickey, Cunningham, Clow, April & Dolan, P.A.) with Julia Rose and John Hickey.
Mr. Thompson received his B.A. from the University of Kansas in 1973, his J.D. from the University of Kansas in 1976, and his LL.M. (Taxation) from New York University in 1980. He has an AV Preeminent peer review rating from Martindale Hubbell.