Reporters seek out FrontLine’s ’40 Act expertise on CCOs as derivatives risk managers, and firm obligations for subadviser and service provider oversight (IGNITES – Subscription Req’d)
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ComplianceAlert
FAST Act amends Gramm-Leach-Bliley Act
FrontLine Compliance
On December 4, 2015, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). Although the overall purpose of the FAST Act is not securities regulation, it has one very important impact on investment firms: every registered investment adviser, mutual fund, and broker-dealer currently distributing privacy notices is impacted by Section 75001…
SEC Enforcement actions likely to follow scrutiny of Outsourced CCOs. Hedge fund industry beware, notes Amy Lynch (Hedge Fund Alert – Subscription Req’d)
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