 | |
 | The Inspector General’s report discusses how the SEC failed to discover the Madoff fraud through its examinations of the firm. In addition, the SEC failed to follow through on several complaints received over a 15 year span. The IG determined that the SEC acted incompetently, but without any intentional wrongdoing by SEC staff. 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 |
 | |
Forward to a Friend
ShareThis