ComplianceAlert

SEC Speaks Out in Atypical Fashion

The SEC’s Division of Enforcement took an unusual step last Friday by issuing a memo to the industry. The subject of the memo is how and why Enforcement chooses its venues for cases, either a federal district court or a Commission Administrative Law Judge (ALJ). The use of Commission appointed ALJs to hear cases has…

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BoardRoom: Should You Hire a Compliance Consulting Firm?

The short answer is… there is no short answer. When FrontLine Compliance receives a call from a prospective client looking into our services we vet them carefully. We have learned to do this over the years for two main reasons: (1) many firms still don’t understand what compliance consulting is; and (2) firms often request…

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