Welcome to FrontLine Compliance, LLCFrontLine Compliance provides customized compliance services to the investment industry. We specialize in regulatory compliance consulting for broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. We partner with our clients to create value-added services and provide solutions designed to fit your business needs.
Good Compliance is Good BusinessAs your outsourcing solution, FrontLine Compliance offers cost efficient high level compliance expertise. The benefits to your organization are:
Who We AreAs the ultimate regulatory insiders, the consultants at FrontLine Compliance have served as SEC regulators and examiners, FINRA investigators, and chief compliance officers. Our staff is comprised of experts with backgrounds in a variety of regulatory matters impacting firms today, including FINRA and SEC audits, variable insurance products, hedge fund and sub-adviser compliance and AML. TODAY'S BUSINESS HEADLINES FrontLine Compliance is a proud member of:
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WHAT OUR CLIENTS ARE SAYING ABOUT US
 Sometimes with consulting firms you don't know what you're getting - that was never a thought with FrontLine Compliance.
—Chief Compliance Officer,
Investment Adviser Client More Testimonials Subscribe to our free quarterly newsletter UpFront:
We take your privacy seriously. View our Privacy Policy. JULY HOT ISSUES
SEC proposes rules for breaking erroneous trades, follows implementation of circuit breakers [Read More] Senate financial reform legislation – in committee with House version before full vote [Read More] SEC proposed rule on target date fund marketing – comments due by 8/23/10 [Read More] House proposed amendments on fiduciary standards, conferees debating oversight for municipal advisers [Read More] More Hot Issues |
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July 30, 2010 Regulatory experts. Business leaders. |
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