Amy Lynch on social media hazards following SEC actions (IGNITES – Subscription Req’d)

Recent SEC Enforcement actions on advertising violations demonstrate that investment advisers increasing reliance on social media continues to pose challenges. With social media now a staple of marketing for advisers, Amy Lynch comments that these firms must review numerous, and sometimes decades old, SEC public statements – forums, speeches, no-action letters and enforcement proceedings –…

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ComplianceAlert

OCIE Issues New Guidance on RIA Best Execution

On July 11, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert (“Risk Alert”) that summarizes its findings from over 1,500 investment adviser examinations. Best execution analysis and monitoring has long been a challenge for investment advisers due to the lack of control over the execution process…

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In the News – Top CCO Joins FrontLine

Included here are select publications that contributed to the media coverage from FrontLine’s July 10, 2018 press release, “FrontLine Expands Consulting Staff – Adds Compliance Industry Veteran” (PRWeb). See the following publications for additional news stories: Hedgeweek, HFM Compliance (subscription required) and Private Equity Wire.  

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ComplianceAlert

SEC Revises Fund Liquidity Risk Management Protocols

On June 28, 2018, the SEC updated its Investment Company Liquidity Disclosure Rule via SEC Release No. IC-33142. The updates clarify and simplify certain required reporting by funds to the SEC. Surprisingly, the revisions come well before the earliest compliance dates for funds – December 1, 2018 – under the new Liquidity Risk Disclosure Rules….

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FrontLine Expands Consulting Staff – Adds Compliance Industry Veteran (PRWeb)

ROCKVILLE, MD (July 10, 2018) — FrontLine Compliance, LLC has further strengthened its consulting team in response to the continued growth of the firm’s offerings of regulatory compliance advising and support for SEC registered investment advisers and private funds. Mike Spero, a former Chief Compliance Officer, recently joined FrontLine Compliance as Senior Vice President to…

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