Amy Lynch on the SEC’s latest cybersecurity sweep (IGNITES – Subscription Req’d)

The SEC has initiated a new cybersecurity sweep of firms, with a focus on those undergoing recent mergers or acquisitions, as well as targeting firms with multiple offices. This marks the regulator’s third industry wide look at cybersecurity policies and practices since 2013. FrontLine’s Founder and President, Amy Lynch, sees the latest sweep as another measuring stick for the SEC to determine how firms have progressed in dealing with evolving cybersecurity threats. Ms. Lynch notes…

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ComplianceAlert

Speech Addresses SEC’s 2019 Rulemaking Agenda

New SEC rulemaking looks to be gaining momentum based on a recent speech by the Director of the Division of Investment Management (IM). Dalia Blass gave the keynote address at the ICI Mutual Funds and Investment Management Conference on March 18, 2019, and although her speech was to a mutual fund audience, many topics presented addressed investment advisers at large. This ComplianceAlert provides insight into the issues Director Blass presented that could drive new rulemaking…

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CCO and General Counsel Event Co-Hosted by FrontLine

FrontLine Compliance recently held a complimentary small group networking event for CCOs and General Counsel from New York City-based private fund and institutional firms. Co-hosted with Crystal FI, the fully attended event featured a professional networking segment that included wine tasting of Italian wines, followed by a sit-down dinner of Italian cuisine. The event took place on February 27, 2019 from 5:00-8:00 pm at Cellini Restaurant in New York City. …

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