March 9, 2010
Regulatory experts. Business leaders.

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FrontLine Compliance provides hedge fund registration, adviser compliance, sec registration, and independent compliance audits.
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The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisers.
About FrontLine Compliance
The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisers.
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The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisors.
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Broker-dealers, investment advisers, and hedge fund dealers rely on FrontLine Complaince for their SEC and FINRA securities compliance audits.

FRONTLINE COMPLIANCE
IN THE NEWS

Amy Lynch quoted in story on case involving third party variable annuity sales (InvestmentNews, 2/21/10)
Trust your hedge fund registration to the compliance consulting experts at FrontLine Compliance.
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Your experts at FrontLine Compliance will handle your hedge fund registration, adviser compliance, sec registration, and independent compliance audits needs.
FRONTLINE COMPLIANCE
IN ACTION!

FrontLine to exhibit at IA Watch's upcoming "Compliance Best Practices Summit" in Washington, DC, 3/25-3/26/10

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Investment advisers rely on FrontLine Compliance for their regulatory adviser compliance.
FRONTLINE COMPLIANCE
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FrontLine Compliance handles hedge fund registration.


Regulatory compliance experts, FrontLine Compliance wall perform a compliance audit for your investment brokerage, broker-dealer, or investment advisor buisness.

Welcome to FrontLine Compliance, LLC

FrontLine 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.
 

FrontLine Compliance Capabilities Brochure

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Good Compliance is Good Business

As your outsourcing solution, FrontLine Compliance offers cost efficient high level compliance expertise. The benefits to your organization are:

  • Lower overhead expenses, higher revenue, and increased compliance efficiencies
  • Access to experienced staff and compliance industry leaders
  • Highly responsive, customized service along with regular updates on current regulatory issues

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Who We Are

As 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.
 

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TODAY'S BUSINESS HEADLINES

    FrontLine Compliance is a proud member of:
 
US Chamber of Commerce  Institute of Management Consultants  NSCP  IRI  ACFE

For a complimentary consultation:
888-518-8070
info@frontlinecompliance.com
 

WHAT OUR CLIENTS ARE SAYING ABOUT US

We're extremely pleased with the services we've received from FrontLine Compliance. We recognize the value and have expanded our relationship with the firm.
—CEO, Broker-Dealer Client
    

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