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…
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…
Yes, the COVID-19 pandemic has been a disruption to both our personal and work lives. And during this difficult time, many CCOs are now working from home and doing the best they can to balance work and home life. For many, this has been a true challenge in the face of limited support and resources…
There has been some talk lately about a particular investment adviser legal proceeding called In the Matter of The Robare Group, LTD., Mark L. Robare, and Jack L. Jones, Jr. Law firms have promoted this case to argue their point that firms should only hire licensed legal counsel to assist with compliance matters or at…
Well, the Boardroom has been empty now for too long so it’s time to get back in session. This meeting is officially called to order by Amy Lynch. There is a true story that I don’t tell often enough. It’s the story of how my compliance career began over 20 years ago… In the mid…