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. FEBRUARY HOT ISSUES
SEC finalizes custody rule – "surprise exams" to verify client assets [Read More] FINRA Regulatory Notice on new registration and qualification rules – comment period ends 2/1/10 [Read More] SEC new principal trading rule in effect for one year only – expires 12/31/10 [Read More] House passes Wall Street Reform and Consumer Protection Act, sent to Senate for debate [Read More] More Hot Issues |
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February 9, 2010 Regulatory experts. Business leaders. |
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