Founder and President Amy Lynch was exclusively interviewed as the featured compliance expert in a recent industry podcast. The timely podcast centers on the regulatory impact of the coronavirus pandemic. Here she discusses SEC and FINRA emergency relief measures and the related guidance provided to registered firms. Responding to questions on the specific regulatory relief offered to date, Ms. Lynch provides clarity on qualifying for ADV filing extensions, executing fund Board meetings and gauging BCP effectiveness. She further describes how the SEC and FINRA would likely continue their exam schedules.
Listen to the podcast, ThinkAdvisor Human Capital Podcast, “FrontLine Compliance’s Lynch Details Regulatory Relief in Light of Coronavirus,” March 20, 2020.
