UpFront » August 2026

FrontLine Compliance is excited to announce that it has been shortlisted as a finalist for the Private Equity Wire® US Awards in the category “Compliance Service of the Year: Overall.” Being shortlisted represents a significant achievement since the awards honor firms making a meaningful impact across the private markets industry and places FrontLine Compliance among a select group of organizations recognized by Private Equity Wire® and its wider industry community. The shortlist was announced on…

Firms scaling up their artificial intelligence initiatives are confronting multiple challenges, including exceeding their budgets and grappling with governance issues. A recent survey of business executives reviewed by CFO Dive shows that nearly 7 out of 10 firms report that at least some of their AI deployments are over budget. Other issues cited include underperforming ROI expectations and experiencing delays caused by governance policies that slow AI rollouts without adequately addressing risk. The findings also…

SEC sweep exams of private fund advisers are underway with a big focus on valuations. The exams are concentrated on previously stated concerns with valuations of private credit funds as well as equity funds, leading to the review of additional areas such as fees and expenses, conflicts of interest, disclosures and marketing. The SEC’s sweep exam document request seeks a firm’s valuation policies, data and testing to review for consistency with valuation processes, appropriate disclosures…

To achieve successful AI governance, compliance staff will need to understand AI’s reverse information paradox. Firms that purchase a sophisticated AI system will likely offer up valuable and sensitive information simply by using it. Compliance coupled with information security programs has historically sought to protect documents, databases, proprietary strategies, client data and personal information. Since AI will collect and learn the significance of this type of information, compliance must go beyond just protecting sensitive information.…

The SEC has indicated that it will be releasing two recordkeeping rule proposals in October to provide new guidance to firms while addressing the “business as such” requirement for retaining certain communications. It follows the current SEC’s scrutiny of how recordkeeping rules were used by the prior administration to bring off-channel communications cases on the use of texting and apps. Amy Lynch, FrontLine’s Founder and President, is featured in the ThinkAdvisor article, commenting that communications…