We view our responsibility to educate the industry as a serious job requirement. As consultants, we accomplish this at just about every turn we take. Here’s how.

Training Services

Customized, specific training for your firm’s CCO, compliance and business staff is part of every one of our services — it’s a comprehensive but invaluable difference between us and other consulting firms. This close collaboration with our clients, combined with regular and thorough communication, helps them improve their core competencies while achieving compliance at the same time. If you’re looking for custom designed formal training, we can do that too.

Our customized training services include:

  • Web-based platform that includes recorded presentations, reporting, and employee reminders
  • Presentations include Founder and President Amy Lynch as moderator and select FrontLine experts
  • Topics are customized by firm business model, regulatory hot topics, and high-risk areas
  • All training presentations include an employee quiz to test employee knowledge and participation
  • Annual Compliance Training for Rule 206(4)-7 or Rule 38a-1 compliance
  • Ethics Training under NFA Rule 2-9
  • Training for newly registered firms and their employees
  • All required documentation in accordance with Rule 204-2 of the Advisers Act

FrontLine Compliance is your partner in training to help you prove your firm is in compliance and meeting its regulatory requirements.


Stay Current with our ComplianceAlerts.

Our perspective as former regulators and private-sector executives is the foundation of our popular service that thousands in the industry depend on. There’s no charge, but big rewards as we break industry news, analyze current issues, interpret rulings, offer expert guidance and more. Get in the know from those who are already there.

Request our ComplianceAlerts

White Papers

Ace your regulatory requirements. Our White Papers will show you how.

Fulfilling your requirements is a lot easier with an industry expert and former regulator and CCO in your corner. FrontLine Compliance founder Amy Lynch draws on her decades of experience in the compliance industry to clearly and concisely help you map out the hot topic areas focused on by regulators today and make your program smooth, efficient and successful. She’ll actually show you practical ways to comply that add real value to your firm.

Request a White Paper

One of the better webinars I’ve attended. Great information – and I appreciate that it was substantive (unlike most webinars).