ComplianceAlert

SEC Issues New Guidance

Earlier this week the SEC issued a new Risk Alert on adviser due diligence regarding alternative investments. The information provided by the SEC is based upon ten recent examinations of private fund advisers, including hedge funds, private equity funds, and alternative fund of fund advisers. Generally, the Staff found that advisers have increased their due…

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ComplianceAlert

Is Your Firm “On the List” for a 2014 Exam?

Both the SEC and FINRA have recently released their 2014 exam priorities. At FrontLine Compliance, we look forward to the release of this information every January so that we can help our clients structure their compliance program priorities for the year. The exam priority releases tell the industry which types of firms the SEC and…

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