Founder and President Amy Lynch was exclusively interviewed as the featured compliance expert in a recent industry podcast. The timely podcast centers on the regulatory impact of the coronavirus pandemic. Here she discusses SEC and FINRA emergency relief measures and the related guidance provided to registered firms. Responding to questions on the specific regulatory relief…
Founder and President Amy Lynch will be a featured presenter for NSCP’s upcoming webinar “IA/IC – Records Management.” Based on the popular and well-attended session at NSCP’s 2019 National Conference, on February 20th at 2:00pm, Ms. Lynch will share her expertise on books and records compliance as part of a two person panel. The webinar…
Founder and President Amy Lynch will be a featured speaker at NSCP’s 2019 National Conference, October 21-23 in Baltimore, MD. On October 23rd, Ms. Lynch will offer her expertise as part of a two person panel discussing best practices for records management programs to ensure they are in compliance with investment adviser and investment company…
FrontLine Compliance recently held a complimentary small group networking event for CCOs and General Counsel from New York City-based private fund and institutional firms. Co-hosted with Crystal FI, the fully attended event featured a professional networking segment that included wine tasting of Italian wines, followed by a sit-down dinner of Italian cuisine. The event took…
Founder and President Amy Lynch has been selected to speak on the SEC’s recently released 2018 exam priorities. Ms. Lynch will participate as a panelist during the upcoming webinar, “Prepping Your 2018 SEC Exam Cheat Sheet,” hosted by IGNITES and its Exchange webinar series. She will discuss highlights of this year’s SEC exam priorities document and…