FrontLine’s industry leading ComplianceAlerts now available via text messaging

New and current subscribers of FrontLine’s popular ComplianceAlerts are now able to receive the complimentary alerts instantly via text messaging, as well as by email. New subscribers can sign up to receive the ComplianceAlerts by completing our Contact form. Current subscribers simply need to update their ComplianceAlert preferences by adding their mobile number (see a…

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Amy Lynch comments on new initiative for SEC following third cybersecurity sweep (Fund Intelligence – Subscription Req’d)

In addition to the SEC’s latest cybersecurity sweep, separate, targeted request letters have now been sent to a number of firms seeking their due diligence and oversight practices for their third party cloud service providers. Cloud based, electronic service providers are an increasingly common source for recordkeeping, explains Founder and President Amy Lynch. Ms Lynch…

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Amy Lynch on the SEC’s latest cybersecurity sweep (IGNITES – Subscription Req’d)

The SEC has initiated a new cybersecurity sweep of firms, with a focus on those undergoing recent mergers or acquisitions, as well as targeting firms with multiple offices. This marks the regulator’s third industry wide look at cybersecurity policies and practices since 2013. FrontLine’s Founder and President, Amy Lynch, sees the latest sweep as another…

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Amy Lynch discusses custody rule challenges for firms (InvestmentNews)

What constitutes custody status for registered investment advisers still creates challenges for firms despite the SEC’s best efforts to modify and clarify the rules. Amy Lynch, Founder and President, states that the custody rule is the regulatory issue the SEC has provided the most clarity on. However, she adds that it remains confusing for advisers…

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SEC settlements thrown off by lengthy shutdown; Amy Lynch explains (Fund Intelligence – Subscription Req’d)

The SEC’s schedule to finalize settlements with firms for Rule 12b-1 violations is feeling the lingering effects of the Federal government shutdown. Founder and President Amy Lynch explains that work remains for the SEC to finalize the settlements and the agency will be pushed to meet its end of February goal. See Fund Intelligence (subscription…

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