Tom Pennington, former General Counsel for the Americas of The Bank of Tokyo-Mitsubishi UFJ, Ltd. (BTMU), has extensive experience in the financial services industry and its regulation, corporate and securities law, and litigation matters. At BTMU, Pennington was a member of the bank’s risk and compliance committees, among others, and was deeply involved in managing and advising on BSA/AML and OFAC matters as well as internal and external investigations. Tom was responsible for oversight of all litigation matters and also focused on corporate governance, regulatory compliance, recovery and resolution planning, risk management, and human resources and labor matters. Tom continues to practice in these areas at Moore & Van Allen, a full service law firm of nearly 300 attorneys based in Charlotte, NC, where he represents financial institutions. Pennington’s focus is on federal regulatory advice, defense and investigations, and federal and New York corporate governance and corporate finance matters. Pennington also advises Fintech start-ups and clients in the investment management sector, with an emphasis on private fund formation and compliance. He has led and documented corporate, investment fund, and venture stage finance transactions.

Mr. Pennington began his career in private practice specializing in corporate law with an emphasis on mergers and acquisitions, finance, public and private securities offerings (including initial public offerings), bankruptcy and corporate restructuring, contract negotiation, and drafting and partnership and joint venture arrangements. His clients included commercial, investment and merchant banks, hotels and casinos, and companies ranging in size from start-ups to Fortune 100.

Pennington left private practice to join what is now the Mitsubishi UFJ Financial Group (MUFG), one of the largest financial groups in the world. During his time at MUFG, Mr. Pennington served in various capacities, primarily as General Counsel, but also as a key member of, and advisor to, executive management and various boards of directors. He also played critical roles in areas as diverse as risk management, corporate governance, resolution and recovery planning, project management, distressed lending and portfolio management, compliance, media relations, regulatory compliance and relations, and managing investigations both internal and regulatory in nature. He was deeply involved in managing and advising on BSA/AML and OFAC matters from both the domestic and international perspectives. He was also active in strategic planning during his tenure at MUFG, which was of particular importance during the period of upheaval in the financial services sector following the financial crises in 2008.

During this period, Pennington served as General Counsel for the Americas of The Bank of Tokyo-Mitsubishi UFJ, Ltd. (BTMU), the corporate and investment banking arm of MUFG and one of the world’s largest financial institutions in its own right. He was responsible for the oversight and management of the Bank’s legal risk and affairs in the United States, Canada, and Latin America, including legal support for all of the Bank’s transactional businesses. Pennington was a member of the Bank’s Headquarters for the Americas Executive Committee, Latin America Executive Committee, and a number of other management committees including Business Strategy, Risk and Capital, and Compliance. He served as a director of BTMU Leasing & Finance, Inc., BTMU LF Capital LLC, BTMU Securities, Inc., and MUFG Americas Capital Company, BTMU’s merchant banking subsidiary. He also acted as Corporate Secretary and as the primary legal advisor to many of the Bank’s other subsidiaries operating in the United States.

Pennington received his law degree from New York University School of Law and is a member of the New York State Bar. Pennington holds a BS (summa cum laude) in Business Administration from West Virginia University. He also obtained a Diploma in Credit Analysis from New York University School of Continuing and Professional Studies.
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