Policies and Procedures

Let FrontLine Compliance’s experts keep all your policies and procedures up to date and in compliance. We review and update our clients’ Compliance Manual at least once a year, plus we create new policies and procedures as needed. Our Compliance Manuals exceed required standards of customization, unlike the often-seen boiler plate manuals that cause deficiencies. FrontLine Compliance has only received positive comments from the SEC on its Compliance Manuals and written policies and procedures produced for its clients.

With new SEC rules always in the works, having a go to source to keep your firm’s compliance policies and practices in line with regulatory expectations is a must have.

Marketing Rule Policies

SEC registered investment advisers must now be in compliance with the new marketing and solicitation rule, amended Rule 206(4)-1 of the Advisers Act. Our marketing and advertising regulatory experts will make sure that your firm and its employees are in full compliance with the rule’s requirements and prepared for SEC exams. View our Marketing Rule Services.

New Regulations

When new regulations are passed it means updating your written policies. We stay on top of all rulemaking so you don’t have to! We will update your Compliance Manual as needed and at least annually. All policies are customized to your firm’s business model and your input is a critical component of any finalized Compliance Manual.

Technology

Your in-house and vendor based systems are a key component of your compliance program. For this reason, we make sure that your systems are documented into your written policies so that workflow processes are captured correctly within your compliance program. In addition, we also offer technology support through assistance with system installation, review, and updating when practices or rules change.