Founder and President Amy Lynch has been selected to speak on the SEC’s recently released 2018 exam priorities. Ms. Lynch will participate as a panelist during the upcoming webinar, “Prepping Your 2018 SEC Exam Cheat Sheet,” hosted by IGNITES and its Exchange webinar series. She will discuss highlights of this year’s SEC exam priorities document and…
With the long awaited release of the SEC’s 2018 exam priorities, registered investment advisers now have a clearer picture of the regulatory areas at the top of the SEC’s current agenda. Founder and President Amy Lynch advises firms to be diligent in reviewing disclosures to ensure they are consistent and accurate. While historically included as…
On February 7, 2018, the Office of Compliance Inspections and Examinations (OCIE) issued its much awaited 2018 National Exam Program Examination Priorities. What was issued this year reads more like a business plan or mission statement for the SEC rather than a letter to the industry, as has been the style in years past. However,…
As the industry still awaits the annual SEC Exam Priorities Letter, there are a number of theories being offered on why the 2018 version is delayed. Amy Lynch, FrontLine’s Founder and President, sees the SEC still grappling with proposing new requirements for firms to protect retail investors of cryptocurrencies and initial coin offerings. Since cryptocurrencies…