SEC’s upcoming message to private equity: you’ve got our attention (The Wall Street Journal)

A new SEC is expected to carry a mandate with an expansive enforcement process that could have a heavy focus on private equity firms. SEC chair nominee Gary Gensler would likely return the regulator to pursuing “message sending” and “headline making” enforcement cases of large fines. Private equity would seem to be an industry with…

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Biden’s SEC will seek greater transparency for investors (BARRON’S)

Investors with an SEC under Biden’s watch should benefit from greater regulatory protections, access to new markets, and disclosures by investment firms to help better measure risks. Areas ripe for SEC action include ESG disclosures, cryptocurrency regulation, proxy rules more favorable to shareholders, and scrutinizing online trading and its associated GameStop like market volatility. Expect…

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Amy Lynch talks to “the Street” (TheStreet Video)

FrontLine Founder and President Amy Lynch recently spoke with TheStreet and its host Corey Goldman. Ms. Lynch was asked about what could be expected from regulators in light of the Congressional hearing questioning some of those involved during the late January-early February chat room fueled trade volatility, including the heads of Robinhood, Citadel and Reddit….

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CNN’s one-on-one interview with FrontLine’s Founder & President (CNN Newsroom)

When CNN sought an expert to clarify in plain English their breaking news on the GameStop trading saga, they turned to FrontLine’s Amy Lynch. In the interview with CNN Newsroom anchor Brooke Baldwin, Ms. Lynch reviews the trading event and the likely thought process of the regulators. She discusses where the SEC and FINRA would…

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Measuring compliance of expense allocations at private funds (Private Equity Law Report)

When it comes to tracking expense allocations at SEC registered private equity firms and other private funds, a recent SEC case and the enduring pandemic shed light on how to avoid regulatory attention in this area. It’s critical that senior management and compliance have appropriate and effective policies and procedures on expense allocations, including oversight…

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