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Tonkon Torp Attorneys Hold Briefing for Greater Portland Compliance Association
On September 19, Tonkon Torp hosted the quarterly education meeting of the Greater Portland Compliance Association (GPCA). Attorneys from Tonkon Torp’s Financial Services & Investment Management and Labor & Employment practice groups provided a briefing for chief compliance officers for investment advisers and broker dealers. Jessica Morgan, Christopher Pallanch, Blerina Kotori, and Jarell Hunt discussed a variety of topics, including an overview of OCIE Priorities for 2019, trends for regulatory enforcement action and fund exams, updates on social media and employment matters, highlights on regulation best interest and the related Form CRS, and details of the revised CFP Board Code of Ethics and Standards of Conduct.
The Financial Services & Investment Management Practice Group works with investment funds, broker dealers, and investment advisers on issues of compliance with the Securities Act of 1933, Securities and Exchange Act of 1934, Investment Advisers Act, Investment Company Act, self-regulatory organization rules, and state blue-sky regulations. The Labor & Employment Practice Group provides practical solutions to labor and employment problems for a diverse group of Pacific Northwest employers.
The GPCA was founded in 2009 and is a professional membership organization dedicated to supporting and promoting the securities compliance industry in the Portland, Oregon area.