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.
Our clients that have had customized compliance programs built within a FrontLine Compliance partnership have ALL had successful SEC exams over our history!
Foundation Program
Set your foundation straight. Whether your SEC RIA compliance program needs a jumpstart or your newly registered entity needs a proper compliance foundation, this program has what you need. View our Foundation Program services.
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.
Outsourced Remote Program
Whether you’re in the office or working remotely, let our specialized Outsourced Remote Program services ensure you’re effectively managing your compliance program at all times, in any location. View our Outsourced 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 or rapid firm growth via a new line of business, product offering or acquisition. We partner with you to identify and mitigate risks so your clients and investors are protected.
FrontLine offers guidance on areas where my knowledge is weaker…and has updated me both on what the SEC seeks and on market and industry practices. So FrontLine offers both knowledge and solutions!