Philip Thomas

Philip manages CompliGlobe's Asian operations. He is a securities and regulatory attorney specializing in compliance matters affecting market participants.

Philip spent six years at Merrill Lynch in New York, and in 1996 was a key member of the team that brought to market Merrill's first fund of hedge funds. He later served as Chief Compliance Officer to a significant New York money management firm and Deputy General Counsel to a diversified financial services concern. His expertise in Investment Company Act regulation was honed during his tenure as the Chief Compliance Officer to an investment adviser to SEC registered investment companies.

The former head of a New York law firm's investment management practice, Philip was the lead attorney on the formation of several private investment funds and aided in the creation and maintenance of the compliance programs of a variety of financial firms. As a regulatory consultant, he served household name hedge funds, PE funds, VCs and investment banks on regulatory and legal matters. Philip authored a body of published articles on financial service firm regulatory issues. He wrote the chapter on communications for the Handbook of US Broker-Dealer Regulation (2010, CompliNet, a division of Thompson-Reuters). He teaches private- and mutual-fund-related Continuing Legal Education classes, including CLE123's "Structuring an Investment Adviser Compliance Program."

Philip is a former US Navy officer and a graduate of the US Navy Supply Corps School. Philip received an AB from Hamilton College, with honours, and is a graduate of Rutgers School of Law-Camden. A member of the New York Bar, Philip earned the Project Management Professional certification in 2006.