It’s never been more challenging to prevent compliance deficiencies. Regulators are looking at more aspects of your firm, more closely. We’ll help you avoid deficiencies altogether. Today’s regulatory environment is robust, aggressive, comprehensive – so are our services.

We can help you find the right services for your needs. Request our complimentary Compliance Assessment to get started. Here are the common ways we assist our clients.

SEC Mock Exams

Know beforehand exactly how your staff, structures and systems will fare during an examination. Our mock exams are designed by former examiners that have previously conducted actual SEC exams.

Note: Others may call it a “mock exam” but what you experience falls well short. We perform only true SEC mock exams that mimic actual regulatory examinations.

Contact us to get started.

“The mock audit conducted by FrontLine Compliance was significant in preparing for our eventual SEC exam. We believe this advanced preparation struck a chord with the SEC – they halted their exam early!”

— Chief Compliance Officer, Investment Adviser Client

Forensic Testing

We’ll pressure test your compliance and supervisory systems before they’re put to the real-world test, and specify detailed changes to prevent violations. Our detailed forensic analysis mimics how SEC examiners perform their work and as former examiners ourselves we know exactly how to connect the dots.

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“A talented group that offers the advantage of former regulatory insiders – it’s expertise we value in today’s heightened regulatory environment.”

— Chief Compliance Officer, Hedge Fund Client

Annual Compliance Review

Only a package of services designed specifically for your business will give you the peace of mind in knowing your firm will meet its rule requirements. Our Rule 38a-1 and Rule 206(4)-7 annual reviews are SEC tested. Our clients have never had a comment from the SEC on their annual review process. In this case, no news is good news.

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“We’re extremely pleased with the services we’ve received from FrontLine Compliance. We recognize the value and have expanded our relationship with the firm.”

— CEO, Broker-Dealer Client

SEC Registrations and Filings

Intimately understanding the forms, filings, updates, deadlines and preparation nuances probably isn’t one of your core business functions. But it’s one of ours, which frees up your time to do what your new firm or your existing one is in business to do. From Form ADV Parts 1-3, to Form PF for advisers, to CTA/CPO filings; FrontLine’s expert staff handles it all with ease:

  • Form ADV filings – SEC registered investment advisers’ annual filings are due March 31st, other filings may be needed for material changes such as new Part 3 for Form CRS
  • Form PF filings – Private funds must file either a quarterly or annual form dependent upon firm size; annual filings are due April 30th
  • CTA/CPO filings – both annual and quarterly filings are required for pooled investment vehicles

And for initial registrations, our services get you registered fast and in a compliant manner that will pass regulatory scrutiny. Several of our newly registered clients received “no further action” letters upon their initial SEC exam. Just two percent of all firms receive that response. Don’t you want to be part of the 2 percent?

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“We hired FrontLine Compliance for our SEC investment adviser registration. The firm’s consultants are extremely responsive and they demonstrated a thorough knowledge base with a regulatory insider’s point of view.”

— Chief Compliance Officer, Hedge Fund Client

Customized Compliance Programs

We only create custom SEC compliance programs: off-the-shelf won’t cut it. We create specific and comprehensive written policies and procedures that will be the core of your compliance program. From there we train, implement and help you execute it all.

Remote Program

Whether working from a remote location or a home-based office, let our specialized Remote Program services ensure you’re effectively managing your compliance program outside the office. View our Remote Program services.

Comprehensive Adviser Programs

Our ’40 Act experts know exactly how to create strong investment adviser compliance programs. We cover all the rule requirements that are specific and meaningful to your business; no boiler-plate here.

Risk Management Programs

We know risk comes in many forms: conflicts of interest, new regulations (liquidity risk protocols for mutual funds, new Reg BI, etc,.) or a new line of business or product offering. We partner with you to identify and mitigate risks so your clients and investors are protected.

FrontLine Edge for Private Funds

One-of-a-kind compliance and risk-management solutions that favorably position your private fund adviser to the SEC as well as your investors. View our FrontLine Edge services.

“Our largest institutional investor loved the compliance manual that FrontLine Compliance drafted. They loved how it was customized versus the boiler plate manuals they see from ACA, etc. I told them that’s why we chose FrontLine!”

— Chief Compliance Officer, Hedge Fund Client

Specialized Audit Services

We painstakingly design audits specific to the product, department, supervisory structure or rules that necessitate the need for the audit in the first place. Our forensic approach drills down to identify the issue or concern while our experts then determine the right solution for your business model. For example, firms in acquisition mode need to know what risks are presented by target entities; our FrontLine experts perform specific compliance due diligence audits to discover and mitigate those risks. By hiring FrontLine these firms avoid adding new audit staff, increasing investment in technology or missing opportunity costs, while complying with regulations.

“Amy Lynch and her firm provide high quality work that is carefully customized for each client. This is not a cookie-cutter shop throwing the same off-the-shelf service to everyone.”

— CEO, Broker-Dealer Client

Strategic Consulting

The real value of our decades of first-hand knowledge of compliance rules and regulations is the strategy-driven application of our knowledge, specifically to your business operations. It’s no coincidence that with expert strategies in place, our senior consultants will be your single-best resource. Examples: new Reg BI has firms scrambling to update disclosures and supervision practices in time for the June 30, 2020 deadline. We are guiding insurance companies and retail advisers through the transition. Plus, our Regulatory Response Services guide investment advisers through tough SEC exams. Our experienced staff of former regulators are in your corner (and in your office) precisely when you need us most.

We’ll get your senior management, compliance, legal, operations and sales/marketing focused and on the right path. We’re ready to strategize. What are your questions?

“Tapping into the “regulatory experts” at FrontLine Compliance was crucial to our compliance improvements following our SEC exam.”

— Chief Compliance Officer, Broker-Dealer Client

Working with FrontLine Compliance gives us a true partner in compliance–seasoned consultants who fully understand how to mesh our specific business with the regulatory requirements.