Leigh Thompson

Leigh Thompson Email and Phone Number

Managing Chief Counsel at PNC @
Leigh Thompson's Location
Philadelphia, Pennsylvania, United States, United States
Leigh Thompson's Contact Details
About Leigh Thompson

Leigh Thompson is a Managing Chief Counsel at PNC at PNC.

Leigh Thompson's Current Company Details
PNC

Pnc

Managing Chief Counsel at PNC
Leigh Thompson Work Experience Details
  • Pnc
    Managing Chief Counsel
    Pnc Mar 2018 - Present
  • Pnc
    Managing Senior Counsel
    Pnc Jul 2015 - Present
  • Pnc Finanical Services Group, Inc.
    Senior Consel
    Pnc Finanical Services Group, Inc. Oct 2013 - Present
  • Wilmerhale
    Counsel
    Wilmerhale Jan 2013 - Oct 2013
    Regulatory: • Advise broker-dealers on compliance with the full spectrum of SEC and FINRA regulatory requirements. • Draft policies and procedures for a variety of clients and businesses, including retail broker-dealers, institutional trading desks, capital markets businesses, fund advisers, and placement agents. • Monitor SEC and FINRA rulemakings and prepare comments to proposed rules on behalf of individual clients and trade associations. • Represent large bank broker-dealer in negotiating extensive fully disclosed clearing agreement. • Advise non-U.S. and multinational firms with respect to cross-border provision of brokerage services and SEC registration requirements. • Develop information barrier and insider trading policies for various clients and respond to real-time insider trading questions. • Prepare regulatory filings for broker-dealer clients (e.g. Forms U4, U5, BD). • Assist clients in drafting and submitting petitions for exemption from regulation by the CFTC. Enforcement: • Represent individual and entity clients in responding to and resolving inquiries by the SEC, FINRA, the CFTC, and the New York State Office of the Attorney General. • Draft responses to Wells notices from the SEC, FINRA, and the CFTC. • Prepare witnesses for testimony before the SEC and FINRA. • Manage and supervise large-scale collection, review, and production of documents in response to regulatory requests.
  • Wilmerhale
    Associate
    Wilmerhale Sep 2006 - Dec 2012

Leigh Thompson Education Details

  • New York University School Of Law
    New York University School Of Law
    Doctor Of Law (J.D.)
  • Virginia Commonwealth University
    Virginia Commonwealth University
    Economics

Frequently Asked Questions about Leigh Thompson

What company does Leigh Thompson work for?

Leigh Thompson works for Pnc

What is Leigh Thompson's role at the current company?

Leigh Thompson's current role is Managing Chief Counsel at PNC.

What is Leigh Thompson's email address?

Leigh Thompson's email address is le****@****ail.com

What is Leigh Thompson's direct phone number?

Leigh Thompson's direct phone number is +120242*****

What schools did Leigh Thompson attend?

Leigh Thompson attended New York University School Of Law, Virginia Commonwealth University.

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