Tonkon Torp attorneys Christopher Pallanch, Jarell Hunt, Jessica Morgan, and Kristen Bremer Moore led an informational session on timely topics important to compliance professionals. The educational roundtable was hosted at the Tonkon Torp offices by the Greater Portland Compliance Association (GPCA) for regulatory compliance professionals in the Portland area.
Litigator Christopher Pallanch led off the educational session by outlining the SEC Division of Examination’s compliance priorities. He also reviewed key 2024 enforcement actions by the Division and highlighted key litigation cases.
Labor and employment partner Kristin Bremer Moore followed up with a discussion on the utility and legal status of non-competition, non-solicitation, and non-disclosure agreements at the workplace – both at the Federal and Oregon and Washington state levels.
Business attorneys Jarell Hunt and Jessica Morgan focused their talk on notable regulatory updates. Hunt discussed new anti-money laundering rules for (certain) investment advisers, while Morgan covered Regulation S-P and cybersecurity issues.
Pallanch serves as Chair of the Tonkon Torp Financial Services & Investment Management Practice Group which offers counsel to investment advisers, broker-dealers, CPAs, banks, non-bank lenders, mortgage lenders, insurance companies, fintech companies, and software vendors. The group advises clients on federal and state securities laws, and on the rules and regulations of the SEC, FINRA, various securities exchanges, and state securities regulators.
The GPCA is a professional membership organization, founded in 2009, dedicated to supporting and promoting the securities compliance industry in the Portland, Oregon area. Members are compliance officers who represent the many business types within the financial services industry, including registered investment advisers, broker-dealers, mutual funds, and hedge funds.
