ComplianceAlert

New Requirements and Compliance Dates for Reg S-P Amendments

The SEC is moving forward with some of its new rulemaking despite the talk of deregulation. While several proposed rules have been abandoned and compliance dates have been pushed forward for certain adopted rules, others have been finalized in a typical fashion with more immediate compliance dates. This includes the 2024 amendments to Regulation S-P that were adopted in May last year and will become a new requirement for all large investment advisers on the…

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New look SEC expected as Chair Atkins steps in (ThinkAdvisor)

With Paul Atkins officially sworn in as the SEC’s new Chairman, the regulatory body faces what could be dramatic changes ahead. In two recent ThinkAdvisor stories, FrontLine’s Founder and President Amy Lynch discusses how certain expected shifts in the SEC’s policies and goals would impact the industry. Through lead comments and several quotes, Ms. Lynch sees the effects of DOGE reducing SEC staff, in turn, creating the need for the SEC to re-evaluate its standard…

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Amy Lynch on Gary Gensler’s legacy and what’s next for the SEC

Former SEC Chairman Gary Gensler left his mark on the SEC and its various regulatory mandates during his tenure. This will have a direct impact on where the SEC is headed today, either by rolling back and undoing his policy-making or including certain components of it. FrontLine Compliance Founder and President Amy Lynch was interviewed in depth for the Private Equity Law Report 2-part series on “Grading Gary Gensler.” From FrontLine’s BoardRoom, we are…

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