Financial Services Practice Group Issues Compliance Update Newsletter

February 3, 2014
Tonkon Torp’s Financial Services practice group issued the first installment in their Funds and Advisers Compliance Update newsletter. The Update, co-authored by Jessica Morgan, covered such topics as how private funds can transition from 3(c)(1) to 3(c)(7) status, and the recent exception to the Custody Rule provided by the SEC Division of Investment Management. You can read the full newsletter by downloading the pdf below.