Founder and President Amy Lynch speaks on expectations for SEC exams

FrontLine Compliance’s Amy Lynch brought her extensive compliance background and SEC expertise as a panel presenter at ALI CLE’s Life Insurance Company Products 2025 Conference on November 14, 2025 in Washington, DC. Joining regulators, legal experts, and compliance leaders, Ms. Lynch spoke on a three-person panel, covering the latest regulatory focus areas for SEC-registered insurance products in the session, “New Developments in the SEC and FINRA Examinations Programs.” With the SEC previously shutdown, FrontLine’s Founder and President was called upon to stand in as a speaker for a top SEC official that was unable to participate. As a former SEC regulator herself, Ms. Lynch provided the audience the SEC’s perspective when conducting exams of investment advisers offering SEC- registered insurance products. She recommended that firms offering these products be aware of certain exam focus areas such as redemption snafus, pricing concerns and transaction processing violations. For further details on the panel session and conference, see ALI CLE’s Life Insurance Company Products 2025 Conference.