Social media policies take on importance in today’s political climate (FinancialPlanning)

In today’s heated political environment, firms should have strong social media policies that include monitoring and oversight of employees’ use. Policies that are part of a firm’s overall compliance program should prevent problematic social media statements that could turn off clients and potentially damage a firm’s reputation. Amy Lynch, FrontLine’s Founder and President, states that a social media policy should be part of a firm’s written marketing policies and thus subject to the SEC’s Marketing…

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With deregulation comes new challenges for compliance (IGNITES)

The SEC’s movement toward reducing regulatory burdens for firms will, incidentally, increase work for compliance teams. A deregulatory environment of rule rollbacks and lessening requirements will demand an assessment of compliance structures that were either built up under the last SEC administration or have been in place for many years. This would require changes to firms’ compliance systems, written policies, staff training and the type of information provided to investors. FrontLine’s Founder and President Amy…

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SEC’s regulatory agenda reflects policy shift (ThinkAdvisor)

The SEC recently released details about its regulatory agenda, describing its upcoming planned rulemaking. Chairman Paul Atkins’ statement about the SEC’s Regulatory Flexibility Agenda signals a new policy transition by declaring a “renewed focus on supporting innovation, capital formation, market efficiency, and investor protection.” A primary stated goal is to formulate crypto regulation, while there is also clear emphasis on pursuing deregulation policies and proposing rules that help with raising capital and investor access to…

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Myths vs. Facts: Identifying Value from Compliance Consulting Services

Beyond the Checklist: How to Maximize Value from Compliance Consulting Services With increasing regulatory complexity and limited internal resources, most SEC registered investment advisers have turned to compliance consulting firms to enhance their regulatory posture. But outsourcing compliance isn’t just about offloading tasks — it’s about unlocking value. Here’s how to assess and derive tangible benefits from your consulting relationship: Why CCOs Need More Than Just Support Today’s compliance departments often operate with minimal staffing…

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New SEC enforcement chief faces steep learning curve (Compliance Week)

The SEC’s new director of its enforcement division brings with her a background in military law, not securities law. As a judge for the Armed Forces, the appointment of Margaret Ryan to the role marks a shift from traditional enforcement director backgrounds stemming from the industry’s legal or federal prosecution areas. FrontLine’s Founder and President Amy Lynch comments that the decision to appoint Ms. Ryan may lead to questions about whether she is qualified to…

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