FrontLine Showcases its Private Fund Expertise at Hedge Fund Event

We will be sponsoring and exhibiting at Corporate Counsel’s “Hedge Fund General Counsel and Compliance Officer Summit,” Oct. 4-5 in New York City. Highlights of our participation include: Exhibit Booth with display and handouts on our full-range of private fund services and support programs Find out how we continuously achieve successful results assisting our clients…

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SEC Spotlight Soon to Shine on Investment Consultants, according to FrontLine’s President (FundFire – Subscription Req’d)

The SEC may soon be following the lead of the UK’s Financial Conduct Authority (FCA) by reviewing aspects of the investment consultant industry. Founder and President Amy Lynch believes the SEC will start looking more closely at conflicts that persist in the industry, as well as how firms are being compensated. Ms. Lynch also notes…

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Amy Lynch on challenges posed by SEC Advertising Rule (IGNITES – Subscription Req’d)

Founder and President Amy Lynch believes firms should take notice of the recent SEC Risk Alert highlighting the most common Advertising Rule compliance issues found during exams of investment advisers. The SEC found that the most frequent violations concerned advertising misleading and problematic performance results. Ms. Lynch discusses how full comprehension of the Advertising Rule…

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ComplianceAlert

SEC Cautions Firms to Heed Advertising Regulations

The Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert on the most common Advertising Rule compliance issues found during examinations of investment advisers. The Risk Alert also covered those findings specific to the 2016 Touting Initiative exams. The Touting Initiative involved the examination of 70 firms that advertised awards received, high industry…

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Hurricanes a wake-up call to test BCP; Amy Lynch advises firms to consider potential disruptions (Law360 – Subscription Req’d)

Planning for disruptions to advisory businesses from hurricanes and other disasters is the subject of an article with extensive comments by Founder and President Amy Lynch. She stresses that firms should be regularly testing their BCP program to remain prepared for a multitude of potential disruptions from natural disasters or other emergencies. There are many…

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