Expect Biden to push for tough regulatory agenda (Compliance Week)

It’s likely that the initial regulatory agenda under now President Biden would include issues that are important to both him and his nominees for regulatory posts, and could be helped along by Democratic control of Congress. According to Amy Lynch, FrontLine’s Founder and President, this could include rule proposals on ESG disclosures, and cases involving…

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Podcast Q&A featuring Amy Lynch on new advertising rule

Discussing various aspects of the SEC’s new advertising rule, FrontLine’s Founder and President Amy Lynch was exclusively interviewed in a recent industry podcast. In the timely event, Ms. Lynch provides important and practical guidance on the new rule. She responds to a series of questions on what the new rule means for certain types of…

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Celebrating 15 years of excellence in compliance support

This month FrontLine Compliance is celebrating its 15 year anniversary of supporting compliance in the investment management industry. Through our specialized consulting services, we are known as a trusted adviser to our clients and their compliance needs. Since 2006, FrontLine’s consultant experts have been empowering CCOs and compliance staff through customized projects, training and advising…

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Absent disclosures, PPP loan recipient motives raise questions (FundFire)

Well over a hundred industry firms, including some well know known names, have received loans as part of the SBA’s Paycheck Protection Program (PPP). According to FrontLine’s Founder and President, Amy Lynch, these firms are required to disclose the loans on their ADV, if considered material to their client advisory relationship. She states that an…

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Amy Lynch on private fund direct lending, insurance market perceived risks (FundFire)

The exponential growth of private fund managers into direct lending and large managers exerting control of the insurance market, would likely be areas ripe for regulatory scrutiny by the incoming Biden SEC. According to FrontLine’s Founder and President, Amy Lynch, the dramatic growth of the direct lending market has received little regulatory attention, despite the…

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