FrontLine Compliance Regulatory Response

A familiar scene….
 

It’s 9:45 on Monday morning and as Chief Compliance Officer of your firm, you have just settled down to begin reviewing the performance numbers and disclosures for the new firm advertisements set to print next week. (Of course you were supposed to have the drafts several weeks ago for the monthly website update, but the numbers were late, as usual….)
 

Now you have to somehow get the review done in time for the ads to print as well as make sure the website gets updated. In addition, you have several Board reports to finish this week for the quarterly Board of Directors meeting which takes place in two weeks. All of this in addition to your daily compliance reviews, etc. Your assistant is out on vacation for the next two weeks and you are already short staffed since your department was downsized last year.
 

And then it happens…
 

The receptionist announces FINRA is here. Your firm just went through an examination six months ago. What could they want now and why weren’t you notified they were coming?
 

Everything must be put on hold; the regulators are at your door.
 

That's why at FrontLine Compliance our goal is to lighten your regulatory burden by assisting you during regulatory examinations and inquiries.
 

We are experts at dealing with regulators. Our Regulatory Response services offer your firm the opportunity to focus less on regulatory matters and more on what matters to you—your business.
 

FrontLine Compliance’s Regulatory Response services include:

• Testing and certification of compliance policies and procedures
• Coordinating and managing the review and response to regulatory examinations and inquiries
• Providing on-site assistance as needed
• Coordinating and managing the document retrieval and review process
• Serve as an independent third-party consultant as recommended or required by the SEC or FINRA
• Internal investigations of current regulatory issues
• Advertising compliance reviews and FINRA submissions
• Consulting with internal and outside counsel as needed
• Assist during “off the record” interviews
• Drafting and/or editing response letters
• Providing follow-up services as necessary