In the movie the Matrix, Neo wasn’t sure if he was the fabled “One” despite what he heard from Morpheus and a trip to see the Oracle. But, Neo still took the steps to discover how to be the “One” and fulfill his potential. Compliance has its own “Matrix” of challenges – and a compliance…
In this industry podcast, FrontLine’s Founder and President Amy Lynch was exclusively interviewed on the SEC’s current regulatory agenda and rulemaking initiatives. A former regulatory insider, Ms. Lynch provides insight on what the industry can soon expect from the SEC’s oversight of ESG, its new Marketing Rule and private funds. She also discusses the recent…
The highly anticipated 2023 SEC Examination Priorities statement from the Division of Exams (“EXAMS”) was released last week. At least the timing was an improvement over last year, when the priorities were not released until late March and well into the examination year. The 2023 focus list is not exactly a surprise based upon recent…
The soon to be finalized rule proposal on changes to Form PF reporting could put private fund managers in a difficult spot, comments FrontLine’s Founder and President Amy Lynch. If adopted as proposed, large private funds such as hedge funds would have to report within one business day via Form PF current significant events such…
The release of the SEC’s recent examination priorities emphasized a host of focus areas for its upcoming exams. Interestingly, the SEC described its view on certain areas that fall under current rulemaking, such as ESG, cybersecurity and new private fund regulations. Amy Lynch, FrontLine’s Founder and President, comments that these areas were purposely covered in…