FrontLine Co-Hosts Webinar “Private Equity Meets Compliance: A Toolkit for Success”

We are co-hosting this webinar with ComplySci (CSI). As SEC registered PE firms continue to comprehend and digest compliance requirements, this 60 minute webinar will equip them with a robust toolkit that addresses the challenges of: Insider Trading Surveillance Fees and Expenses Investor/Deal Due Diligence Marketing/Solicitation Our panel of expert speakers will include FrontLine’s President, Amy Lynch, Dave Nash (VP, ComplySci) and Marie Bober (CCO/Associate Counsel, Moelis Asset Management) This complimentary webinar takes place at…

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New SEC Exam Initiative – Whistleblower Rule Compliance

The SEC issued a National Exam Program (NEP) Risk Alert on Monday, October 24th to put investment advisers and broker-dealer registrants on notice that OCIE examiners are looking into how firms comply with Rule 21F-17 of the Dodd-Frank Act, otherwise known as the the “Whistleblower Rule.” Examination staff are concerned that registrants are limiting the rights of employees and/or former employees regarding their ability to “blow the whistle” on regulatory violations. Based upon the Risk…

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