Firms with numerous violations took PPP loans (FundFire)

Despite lengthy lists of SEC and FINRA violations, investment firms with disciplinary histories successfully applied for and received PPP loans. Amy Lynch, FrontLine’s Founder and President, questions why there was not greater scrutiny of loan applications when certain firms were clearly ineligible based on Treasury Department guidelines. Loans received by these firms were as large as $7 million, and Ms. Lynch adds that any loans received by industry firms should have set off alarm bells.…

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SEC Issues New Guidance and Proposed Amendment

The SEC has been busy this past month issuing new information for asset managers. On July 10th, it issued a proposed amendment to Form 13F filings. Then, last week, the SEC issued guidance on proxy voting for investment advisers. The Form 13F change is significant for institutional equity trading advisers. Section 13(f) Proposed Amendment The SEC has decided to amend the reporting threshold under Section 13(f) in order to provide relief for smaller equity managers.…

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Dodd-Frank 10 years later and its impact on private funds (Law360)

It’s been a decade since the Dodd-Frank Act unveiled numerous new compliance obligations for private fund advisers, including many hedge funds and private equity firms. When the media sought out a compliance consultant’s perspective to discuss its impact, they turned to FrontLine’s Founder and President Amy Lynch. On Dodd-Frank’s initial challenges for private funds, she discusses the onerous task of building out a compliance program and the investment that came with that: appointing a CCO,…

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Amy Lynch offers insights on upcoming Reg BI exams in video interview (Financial Advisor IQ)

In an exclusive video interview. Founder and President Amy Lynch provides guidance on where firms should now be with their Regulation Best Interest (Reg BI) compliance, and what they can expect from an SEC exam. In the video discussion with Financial Advisor IQ, Ms Lynch explains how she expects the SEC to approach these targeted exams, and what the regulator is seeking from them. Ms Lynch also states that the SEC has a certain…

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Amy Lynch a featured panelist for webinar on how to best derive value from the annual review

Founder and President Amy Lynch is a featured presenter for an upcoming webinar, “Annual Review – Keeping it Fresh,” which will discuss ways to ensure a thorough review that provides measurable value for a firm’s compliance. Helpful tips and tools will be provided, plus examples of processes used by FrontLine Compliance and the expert industry panel to conduct Rule 38a-1 annual reviews for registered funds. The webinar will take place on July 28, 2020 from…

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