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Welcome to FrontLine Compliance, LLC

FrontLine Compliance (FLC) provides custom securities compliance services to the investment industry. FLC specializes in regulatory compliance consulting for broker-dealers, investment advisers, investment companies, hedge funds, and insurance affiliates.   

Rule 2821 Compliance
Our staff of former regulators and Chief Compliance Officers will provide your firm with solutions designed to fit your business needs. We partner with our clients to create value-added services that have a positive affect on “the bottom line."
A NOTE TO FLC CLIENTS MAY DEADLINES & HOT ISSUES

Good compliance is good business.
 
We are proud to offer impeccable service, quality work-product, and most importantly, a sense of security for our clients. Our clients know they have an expert partner in compliance with FLC.

Partner with us and gain a restored sense of confidence in your compliance program as you move closer to reaching all your business goals.

FLC in the News
Chip Arvantides quoted in article on senior designations (4/14/08)

Introducing ComplianceConnect, a web-based hotline service for Strategic Partners (4/1/08)

Amy Lynch presents at New York event on compliance for hard-to-value securities (3/13/08)

FLC in Action!
FLC exhibits at ICI Mutual Fund Compliance Programs Conference

2008 Conference Schedule

SIFMA recommendations for AML provisions under USA PATRIOT Act

FINRA seeks to delay portion of Rule 2821 through proposed rule change

President's Working Group releases best practices for hedge funds

FINRA Investor Alert on equity-indexed annuities

SIFMA comment letter on MSRB proposal for auction rate securities (ARS) website

IAA comment letter to SEC on RAND report

Guidance on "rogue" trading issued by FINRA

New electronic Form NMA filing required by FINRA - compliance date 6/26/08

FINRA webcast on preparing for cycle exams

SEC release on proposed changes for Rule 2220, options communications with the public

NASAA model rule for senior designations

FINRA issues new examination priorities letter