Amy Lynch, FrontLine’s Founder and President, returned for another interview on CNBC, this time on “Squawk Box” to discuss the options for regulators following the market volatility created by the Reddit influenced trading of GameStop. Ms. Lynch responds to questions about possible actions determined by the panel of regulators recently convened by Treasury Secretary Janet…
Firms should be bolstering compliance resources and staff in anticipation of a new SEC that will more closely follow the letter of the law than the prior one. FrontLine’s Founder and President, Amy Lynch, recommends that firms evaluate their policies and procedures by reviewing them against actual firm functions within operations. Ms. Lynch also suggests…
Expect SEC chairman nominee Gary Gensler to seek greater regulation of Wall Street that will be viewed as anti-industry, but many Congressional Democrats, industry groups and fellow regulators agree it’s exactly what’s needed. Amy Lynch, FrontLine Compliance Founder and President, states that Gensler’s track record as a regulator has shown him to be a tough…
The SEC faces the difficult task of determining the appropriate regulatory approach following the social media and chat room induced volatility in GameStop and other targeted stocks, Toeing the line between citing rule violations and appearing to undermine investor participation in the market, the SEC may decide to focus on the egregious activity it can…
The SEC and other regulators should be continuously monitoring trading for signs of market manipulation and may look at discussions in public forums about trading of certain issuers. Amy Lynch, FrontLine’s Founder and President, spoke to BARRON’S about the likely regulatory approach to the recent GameStop trading volatility. Ms. Lynch said she expects that the…
