Financial Services Attorneys Host Compliance Professionals
November 7, 2017
Tonkon Torp attorneys Jessica Morgan
and Christopher Pallanch
led a presentation to investment advisers and brokerage dealers at the October meeting of the Greater Portland Compliance Association (GPCA), held at the Tonkon Torp office. They provided insight into the current priorities emerging from the Office of Compliance Inspections and Examinations (OCIE), and shared updates on key compliance topics and enforcement actions.
Jessica and Chris are Co-Chairs of the firm's Financial Services & Investment Management Practice Group
. The group works with funds and advisers on issues of compliance with the Investment Advisers Act, Investment Company Act, self-regulatory organization rules, and state regulations.
The GPCA was founded in 2009 and is a professional membership organization dedicated to supporting and promoting the securities compliance industry in the Greater Portland, Oregon area.