July 30, 2010
Regulatory experts. Business leaders.

Our Services
FrontLine Compliance provides hedge fund registration, adviser compliance, sec registration, and independent compliance audits.
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The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisers.
About FrontLine Compliance
The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisers.
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Get your compliance audit from FrontLine Compliance.
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The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisors.
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Broker-dealers, investment advisers, and hedge fund dealers rely on FrontLine Complaince for their SEC and FINRA securities compliance audits.

FRONTLINE COMPLIANCE
IN THE NEWS

Amy Lynch comments on regulatory issues for outside business activities (InvestmentNews, 5/14/10)
Trust your hedge fund registration to the compliance consulting experts at FrontLine Compliance.
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Your experts at FrontLine Compliance will handle your hedge fund registration, adviser compliance, sec registration, and independent compliance audits needs.
FRONTLINE COMPLIANCE
IN ACTION!

FrontLine exhibits at the FINRA Annual Conference in Baltimore, MD, 5/26-5/28/10

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Investment advisers rely on FrontLine Compliance for their regulatory adviser compliance.
FRONTLINE COMPLIANCE
SPEAKS
FrontLine Compliance handles hedge fund registration.


Regulatory compliance experts, FrontLine Compliance wall perform a compliance audit for your investment brokerage, broker-dealer, or investment advisor buisness.

Welcome to FrontLine Compliance, LLC

FrontLine Compliance provides customized compliance services to the investment industry. We specialize in regulatory compliance consulting for broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. We partner with our clients to create value-added services and provide solutions designed to fit your business needs.
 

FrontLine Compliance Capabilities Brochure

Our Capabilities Brochure

 ComplianceAlert
 

Good Compliance is Good Business

As your outsourcing solution, FrontLine Compliance offers cost efficient high level compliance expertise. The benefits to your organization are:

  • Lower overhead expenses, higher revenue, and increased compliance efficiencies
  • Access to experienced staff and compliance industry leaders
  • Highly responsive, customized service along with regular updates on current regulatory issues

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Who We Are

As the ultimate regulatory insiders, the consultants at FrontLine Compliance have served as SEC regulators and examiners, FINRA investigators, and chief compliance officers. Our staff is comprised of experts with backgrounds in a variety of regulatory matters impacting firms today, including FINRA and SEC audits, variable insurance products, hedge fund and sub-adviser compliance and AML.
 

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TODAY'S BUSINESS HEADLINES

    FrontLine Compliance is a proud member of:
 
US Chamber of Commerce  Institute of Management Consultants  NSCP  IRI  ACFE

For a complimentary consultation:
888-518-8070
info@frontlinecompliance.com
 

WHAT OUR CLIENTS ARE SAYING ABOUT US

Amy Lynch and her firm provide high quality work that is carefully customized for each client. This is not a cookie-cutter shop throwing the same off-the-shelf service to everyone.
—CEO, Broker-Dealer Client
    

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