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FrontLine Compliance News and Hot Issues

FRONTLINE COMPLIANCE IN THE NEWS

Investment Guideline Reviews Now Crucial in Light of U.S. Debt Downgrade (8/16/11 press release)

Amy Lynch comments on FINRA’s new suitability rules (The Wall Street Journal, 4/18/11)

Amy Lynch quoted on strategies for complying with new Form ADV, part 2 (IA Week, 8/2/10)

Amy Lynch comments on proposed SRO’s impact on advisers (Fund Action, 8/2/10)

Amy Lynch quoted on role of technology in reg reform’s stepped-up compliance (InvestmentNews, 7/25/10)

Comments from Amy Lynch featured in article on increased scrutiny of dually registered firms (BD Week, 7/5/10)

FrontLine expands staff by adding two former regulators to consulting team (6/23/10 press release)

Comments from Amy Lynch featured in "Enforcement Alert" cover story on OBAs (BD Week, 6/14/10)

Amy Lynch comments on regulatory issues for outside business activities (InvestmentNews, 5/14/10)

Amy Lynch quoted on compliance systems and technology in hedge fund cover story (Wall Street & Technology, 5/5/10)

Amy Lynch provides comments on SEC’s new examination tactics (IGNITES, 5/3/10)

Comments from Amy Lynch featured in "Enforcement Alert" cover story (BD Week, 4/19/10)

Amy Lynch comments on new suitability requirements for insurance carriers and broker-dealers (InvestmentNews, 4/4/10)

News Archives

FRONTLINE COMPLIANCE IN ACTION!

Amy Lynch featured panel speaker at Linedata Exchange Conference, 10/18/11

Amy Lynch featured speaker at GIPS conference, 7/14-7/16/11

Amy Lynch featured speaker for Linedata webinar on key compliance topics, 5/17/11

Amy Lynch to present at hedge fund event, MFA Network 2011, Palm Beach, FL, 1/31/11

Amy Lynch selected as speaker for Wharton School/FINRA Institute CRCP 10th Anniversary Event in Philadelphia, 11/7/10

FrontLine hosts Half-Day Forum: "Compliance NOW – Myth vs. Reality"
in New York City, 10/21/10

Amy Lynch is featured speaker on SEC examination trends at the IRI Government, Regulatory & Compliance Conference in Washington, DC, 4/28-4/30/10

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

2011 Conference Schedule

2010 Conference Schedule

2009 Conference Schedule

News Archives

FEBRUARY HOT ISSUES

SEC approves amendments to Form ADV, Part 2

SEC new process for collecting comments on regulatory initiatives of Dodd-Frank Act

FinReg/Dodd-Frank Act summary and highlights

FINRA, SEC and NASAA issue joint report addendum on protecting senior investors

SEC FAQ on reforms of money market fund rule

SEC release seeks comments for Dodd-Frank required study on standards of care and fiduciary duty

SEC rule proposal to replace Rule 12b-1 – comments due by 11/5/10

DOL fact sheet on interim final rule for ERISA fee disclosures

SEC final rule on new authority provisions for Director of Enforcement – effective 8/16/10

ICI comment letter to SEC on consolidated audit trail (CAT) proposal

FINRA proposed rule on verification of assets – comments due by 9/1/10

SEC letter on prospectus disclosures of derivatives by investment companies

SEC staff report of life settlements

News Archives

For a complimentary consultation:
888-518-8070
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FRONTLINE COMPLIANCE SPEAKS

Amy Lynch on Best Practices for Annual Compliance Reviews - Listen

Amy Lynch on Variable Annuity Compliance in the New Era of Regulation – Listen

Amy Lynch on Proven Strategies for Dealing with Trade Errors - Listen

Amy Lynch on Rule 3110/Books and Records - Listen

Amy Lynch on Rule 2821 and Variable Annuities - Listen

Amy Lynch on Outsourcing Compliance Functions - Listen

Amy Lynch on Referral Relationships - Listen

Amy Lynch on Rule 2821 - Listen

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