This month FrontLine Compliance is celebrating its 15 year anniversary of supporting compliance in the investment management industry. Through our specialized consulting services, we are known as a trusted adviser to our clients and their compliance needs. Since 2006, FrontLine’s consultant experts have been empowering CCOs and compliance staff through customized projects, training and advising…
Well over a hundred industry firms, including some well know known names, have received loans as part of the SBA’s Paycheck Protection Program (PPP). According to FrontLine’s Founder and President, Amy Lynch, these firms are required to disclose the loans on their ADV, if considered material to their client advisory relationship. She states that an…
The exponential growth of private fund managers into direct lending and large managers exerting control of the insurance market, would likely be areas ripe for regulatory scrutiny by the incoming Biden SEC. According to FrontLine’s Founder and President, Amy Lynch, the dramatic growth of the direct lending market has received little regulatory attention, despite the…
With an IPO in its sights next year, online trading firm Robinhood could be initially sidetracked by mounting regulatory obstacles that so far include cases involving customer harm brought by the Commonwealth of Massachusetts and the SEC. The lead resource in the story, Amy Lynch, FrontLine’s Founder and President, views the company’s alleged compliance failure…
The recent SEC case against trading app Robinhood focused on the company’s misleading statements on how it was making money through the practice known as payment for order flow. FrontLine’s Founder and President Amy Lynch comments that Robinhood’s violations occurred within a unique business model that relied on much higher margins on the payment for…