Compliance staffs feel impact of labor shortage

At a time when compliance staffs are updating programs that may have become stagnant or even floundered during the pandemic, they are being pressed to find enough qualified internal help. The nation’s labor shortfall has made both hiring and retaining employees in compliance a difficult chore, just as a re-energized SEC is formulating an aggressive…

Read More

You’re still a remote CCO; time for a refresh

As the pandemic will appear to linger into the Fall, many positions will continue to take their form as fully or partially remote. For the Chief Compliance Officer (CCO), where oversight and supervision of employee activities is paramount to the success of the position, the remote environment brings particular challenges. To help CCOs recharge for…

Read More

How has your compliance program performed during COVID-19?

With new SEC leadership on the immediate horizon, now is the time to take stock of your compliance program and its performance during the pandemic of the past 12 months. Consider the questions the SEC will ask as part of an exam of your firm. Reviewing a few of our UpFront postings during the past…

Read More

FrontLine supports World Central Kitchen during pandemic crisis

Through the recent donation on behalf of our clients, FrontLine Compliance supports the World Central Kitchen (WCK) and its crucial mission to help those in need during the COVID-19 pandemic. A disaster relief organization founded by chef José Andrés, WCK has dramatically altered the way the global community thinks about emergency feeding. Here are details on…

Read More