Individual advisers to face greater scrutiny; Amy Lynch quoted on new SEC mandate (InvestmentNews)

Founder and President Amy Lynch was recently quoted on the new SEC Enforcement priority to have a more extensive and aggressive approach with individual advisers committing wrongdoing. Ms. Lynch cites the reputational impact on advisers who the SEC is pursuing, which will remain on their record and thus inform the investing public that they should…

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Amy Lynch on how Liquidity Rule workload challenges firms (IGNITES – Subscription Req’d)

Firms are seeking greater resources, including hiring for internal positions as well as outside assistance, before the compliance dates of the SEC’s Liquidity Rule become effective. Founder and President Amy Lynch comments on the challenges posed to firms that must meet the new rule requirements and are seeking to hire help. She notes that setting…

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ComplianceAlert

SEC Issues FY 2017 Enforcement Report and Priorities

On November 15, 2017, the SEC’s Division of Enforcement issued its Annual Report for 2017. The Report summarizes the Enforcement cases of 2017 and discusses the Division’s priorities under Co-Directors Stephanie Avakian and Steven Peikin. The Division listed five major focus areas under its new leadership: Focus on Main Street and harm caused to retail…

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FrontLine named to list of top hedge fund compliance experts for fourth consecutive year (Hedge Fund Alert – Subscription Req’d)

The recently released annual listing of compliance consultants again includes FrontLine Compliance as a leading firm offering compliance support and assistance to hedge funds. The listing cites our track record of providing customized services, with expertise provided by seasoned former regulators and CCOs. See Hedge Fund Alert (subscription required), “Compliance Consultants.”

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