On September 20, attorneys from Tonkon Torp’s Financial Services & Investment Management and Corporate Finance & Transactions practice groups hosted CCO's from investment advisers and broker dealers for the Greater Portland Compliance Association (GPCA) quarterly education meeting. Jessica Morgan, Christopher Pallanch, Tyler Harkness, and Jarell Hunt presented updates on: cryptocurrency and bitcoin, regulatory enforcement action and SEC priority updates, changes in the laws pertaining to fiduciary rules, NY cybersecurity regulation and GLBA updates, aging clients, disclosure of material changes to ADV, and BCP recommendations.
The Financial Services & Investment Management Practice Group works with funds, broker dealers, and investment advisers on issues of compliance with the Securities and Exchange Act of 1934, Investment Advisers Act, Investment Company Act, self-regulatory organization rules, and state regulations. The Corporate Finance & Transactions Practice Group represents issuers, investors, and underwriters and offers business-minded solutions for both privately held and publicly traded companies, and private fund sponsors.
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.