FrontLine’s Founder and President, Amy Lynch, has received a nearly perfect speaker rating from Chief Compliance Officers and other compliance professionals attending the NSCP 2019 National Conference. Ms Lynch was a featured speaker at the well attended, largest annual compliance conference, which took place October 21-23, 2019. Ms. Lynch received a grade of 4.9 out of 5 from…
A manager of mutual funds has taken the unusual step of adopting a series trust structure for certain funds previously launched in the 1990s. While the objective appears to be a reduction in costs, Amy Lynch, Founder and Presdient of FrontLine, cites the change in structure as an extremely rare occurrence. Ms. Lynch notes that…
With the SEC’s proposed changes to its advertising and cash solicitation rules, the regulator is seeking to modernize these rules for today’s communication methods. FrontLine’s Founder and President Amy Lynch states that for instance, under the current rules, many investment advisers are restricted and essentially prohibited from effectively using social media for promoting their business and…
For the sixth consecutve year, the recently released annual listing of compliance consultants includes FrontLine Compliance as a leading firm offering compliance support and assistance to hedge funds. The select listing highlights our successful track record of client SEC Exams resulting in no material findings, our 90 percent plus client renewal rate, and our team…
The SEC continues to push firms to make amends for compliance failures related to their revenue sharing agreements. The latest point of emphasis coming out of the SEC is from its Division of Investment Management (IM) – it issued a FAQ describing its expectations for firm communications with clients about fee arrangements with third parties…