Welcome to FrontLine Compliance, LLCFrontLine 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.
Good Compliance is Good BusinessAs your outsourcing solution, FrontLine Compliance offers cost efficient high level compliance expertise. The benefits to your organization are:
Who We AreAs 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. TODAY'S BUSINESS HEADLINES FrontLine Compliance is a proud member of:
     |
For a complimentary consultation:
WHAT OUR CLIENTS ARE SAYING ABOUT US
 Tapping into the "regulatory experts" at FrontLine Compliance was crucial to our compliance improvements following our SEC exam.
—Chief Compliance Officer,
Broker-Dealer Client More Testimonials Subscribe to our free quarterly newsletter UpFront:
We take your privacy seriously. View our Privacy Policy. MARCH HOT ISSUES
FINRA releases annual examination priorities letter for 2010 [Read More] SEC finalizes money market fund reform rules and amendments [Read More] FINRA Regulatory Notice provides guidance on social networking web sites [Read More] Massachusetts establishes new privacy law, impacts Reg S-P and BCP – effective 3/1/10 [Read More] New FINRA Rule 2330 requirements now in place – effective 2/8/10 [Read More] More Hot Issues |
|||||||
March 10, 2010 Regulatory experts. Business leaders. |
Copyright © 2006 - 2010 FrontLine Compliance, LLC Home | |