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.
 

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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

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