For the sixth consecutive year, the recently released annual listing of compliance consultants includes FrontLine Compliance as a leading firm offering compliance support and assistance to hedge funds. The select listing highlights our successful track record of client SEC Exams resulting in no material findings, our 90 percent plus client renewal rate, and our team…
The SEC continues to push firms to make amends for compliance failures related to their revenue sharing agreements. The latest point of emphasis coming out of the SEC is from its Division of Investment Management (IM) – it issued a FAQ describing its expectations for firm communications with clients about fee arrangements with third parties…
Founder and President Amy Lynch will be a featured speaker at NSCP’s 2019 National Conference, October 21-23 in Baltimore, MD. On October 23rd, Ms. Lynch will offer her expertise as part of a two person panel discussing best practices for records management programs to ensure they are in compliance with investment adviser and investment company…