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 | This new proposed rule requires an independent audit of investment advisers with custody of client assets, as well as changes to Form ADV (new reporting requirements). This would substantially increase compliance costs for investment advisers with custody of any client funds and securities. FrontLine Compliance is gathering information on how this rule will impact the industry and the results will be published in a white paper. To participate or offer your opinion for this FrontLine Compliance study, please contact us at info@frontlinecompliance.com. 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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