UpFront » March 2025

The SEC’s recent FAQs on its Marketing Rule offer welcome clarity on areas of concern and confusion. The FAQs address the Rule’s requirements on presenting extracted performance and portfolio characteristics. Upon its release, ThinkAdvisor turned to Amy Lynch, FrontLine’s Founder and President for commentary about its significance. Extensively quoted throughout the story, Ms. Lynch offers the following points on the Marketing Rule FAQs and its components: The new FAQs – “It provides exactly the guidance…

The possibility for a market downturn may lead firms to consider reducing compliance when, in fact, they should be ensuring appropriate oversight is in place. With several comments in the IGNITES story, FrontLine Compliance Founder and President Amy Lynch emphasizes that preparation is key when signs point to a market downturn and possible recession. She states that funds in particular need to think ahead and create defensive positions, knowing that there could be more redemptions…

The amount of cooperation by firms during enforcement matters under the previous SEC administration reached new heights. There was a record $8.2 billion in fines and financial remedies paid by firms as reported by the SEC during its 2024 fiscal year. In addition, an independent report found a cooperation rate of 75% with SEC enforcement actions during the same year, including the self-reporting of violations. However, with a new SEC administration in place, FrontLine’s Founder…

FrontLine Compliance Founder and President Amy Lynch recently joined the BBC News show “Business Today” for a live interview to discuss the US strategic reserve of cryptocurrencies. Ms. Lynch explains that a primary purpose of the strategic reserve would be to add credibility to the crypto asset industry and to diversify US assets and stockpiles. However, during the interview, she points out that many questions remain about how the crypto reserve would be utilized. If…

Hedge fund managers are poised to benefit from changing views by regulators and policymakers about alternative assets. In the lead comments, Amy Lynch, FrontLine’s Founder and President, states that a new tone at the SEC under the Trump administration could usher in a period of “boom years” for hedge funds. She explains that the expected loosening of the reins on regulations could create market enthusiasm for alternative assets where innovative ideas can be more readily…