The SEC is rapidly planning more expansive exams and enforcement than its predecessor regime. An acceleration of investigations and enforcement cases has already begun, with particular emphasis on certain areas where the SEC has identified concerns. This includes SPACs, ESG, cryptocurrencies and a focus on disclosures and conflicts of interest. On SPACs, Amy Lynch, FrontLine’s…
In an exclusive one-on-one interview, FrontLine’s Founder and President Amy Lynch addresses the predicament of the SEC to fully understand the many regulatory issues surrounding the growing trend of meme stock trading. Ms. Lynch responds to questions about SEC concerns with the “gamification” of stocks and where there may be bigger market structural issues. While…
The Archegos meltdown that caused large losses for certain banks acting as counterparties has set off a chain reaction of stricter risk management and inevitable regulation for family offices. Banks have quickly instituted more expansive risk controls, particular aimed at their exposure to swaps and derivatives. The SEC will be seeking greater transparency from family…
FrontLine’s Founder and President Amy Lynch returned to CNBC’s “Squawk on the Street” for a live interview on the regulatory risks hovering around Robinhood ahead of its IPO. Interviewed by the show’s hosts during their full day of coverage on the IPO, Ms. Lynch provides expert insights about the extensive regulatory issues facing Robinhood. She…
With the Delta variant causing COVID-19 cases to rise rapidly across the U.S., many investment firms are reconsidering return to office plans. Some firms have instructed employees to return to their office building in the Fall, explains FrontLine’s Founder and President Amy Lynch. Now, Ms. Lynch states, there may be a pause in those plans…
