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 | An investment adviser was recently charged with violating Rule 206(4)-6, the “Proxy Voting Rule,” which became effective in March 2003. Regulators expect firms to be in compliance at this time and are looking to take enforcement action against firms for non-compliance. This case proves that. FrontLine Compliance, LLC is a regulatory compliance consulting firm of former high-level regulatory insiders offering customized services to broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. Staffed by former SEC and FINRA regulators, and chief compliance officers, FrontLine Compliance provides the kind of industry knowledge, experience and expertise on regulatory issues only available from well-seasoned insiders. For more information about the firm, please visit www.frontlinecompliance.com.
FrontLine Compliance, LLC |
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