Fees and custody rules likely out by year-end (ThinkAdvisor)

Expansive rulemaking by year-end is expected by the SEC with both 12b-1 fees and custody rules on its agenda. Both rules are currently in the works, comments Amy Lynch, FrontLine’s Founder and President, and a featured contributor in the story. Fund fees have been previously addressed by the SEC through numerous Enforcement actions, states Ms. Lynch, and the industry has received the message with the use of 12b-1 fees declining. She adds that while fund…

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Conflicts emerge through industry consolidation, complex products (Financial Advisor IQ)

Conflicts of interest at firms have historically been an area of concern for the SEC. More recently, the regulator has made the industry aware that those concerns continue today to an even greater extent, and it wants firms to devote more time to addressing conflicts. According to Amy Lynch, FrontLine’s Founder and President, the SEC now has a much stricter stance on conflicts, requiring firms to eliminate or mitigate them in addition to disclosing them.…

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Webinar rewind featuring Amy Lynch on upcoming private fund regulations (Video)

Regulatory risk facing hedge funds and other private fund advisers is only expected to grow as the SEC and global regulatory authorities seek more expansive regulations. FrontLine’s Founder and President Amy Lynch is a featured US regulatory expert in this edited version of the recent Hedgeweek webinar “Regulatory Risk: Confronting the New Global Hedge Fund Compliance Challenges.” Ms. Lynch discusses details of recent SEC rule proposals and other global regulatory changes. She further offers expert…

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