FrontLine Compliance News and Hot Issues

FRONTLINE COMPLIANCE IN THE NEWS

Amy Lynch quoted in story on case involving third party variable annuity sales (InvestmentNews, 2/21/10)

Amy Lynch quoted in story on implications of FINRA's social networking guidance (BD Week, 2/1/10)

ComplianceAlert issued by FrontLine on regulators is "Breaking News" story (HedgeCo.Net, 1/27/10)

Amy Lynch comments on compliance preparedness of firms offering indexed annuities (InvestmentNews, 12/13/09)

Amy Lynch quoted on proposed FINRA Rule regarding payments to unregistered persons (BD Week, 12/7/09)

Chip Arvantides comments on expansion of FinCEN AML program (BD Week, 11/30/09)

Amy Lynch quoted on greater liability for CCOs (BD Week, 11/23/09)

Chip Arvantides comments in feature story on compliance priorities for hedge funds (SNL Financial, 11/13/09)

News Archives

FRONTLINE COMPLIANCE IN ACTION!

FrontLine to exhibit at IA Watch's upcoming "Compliance Best Practices Summit" in Washington, DC, 3/25-3/26/10

Amy Lynch is featured speaker on annual compliance reviews at IA Watch webinar event, 2/16/10

FrontLine showcases expertise and service options as exhibitor at the NSCP National Membership Meeting in Philadelphia, 10/5-10/7/09

FA Magazine and Advanced Sales Corporation webinar event features Amy Lynch as speaker on variable annuity compliance in the new era of regulation, 9/23/09

2010 Conference Schedule

2009 Conference Schedule

News Archives

MARCH HOT ISSUES

FINRA releases annual examination priorities letter for 2010

SEC finalizes money market fund reform rules and amendments

FINRA Regulatory Notice provides guidance on social networking web sites

Massachusetts establishes new privacy law, impacts Reg S-P and BCP – effective 3/1/10

New FINRA Rule 2330 requirements now in place – effective 2/8/10

SEC Investor Advisory Committee memo on definitions of fiduciary duty

SEC approves final rule on short selling restrictions

FinCEN proposed rule on new regulations for Foreign Bank Accounts Report (FBAR)