Financial Services Group Reviews Enforcement Actions and Privacy Notices for Compliance Newsletter
November 3, 2014
Tonkon Torp’s Financial Services practice group
issued another installment in their Funds and Advisers Compliance Update
newsletter. The Update
, co-authored by Jessica Morgan
, covered such topics as recent SEC enforcement actions and the new Annual Privacy Notice rule from the Consumer Financial Protection Bureau. You can read the full newsletter by downloading the pdf below.