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 is no coincidence that with expert strategies in place, our senior consultants will be your single best resource.
Examples: FrontLine Compliance had ALL of its clients prepared for the Marketing Rule changes well ahead of the SEC’s November 4, 2022 deadline. Our clients had new written marketing policies plus all marketing materials were reviewed and updated prior to the compliance date. In addition, Reg BI had firms scrambling to update disclosures and supervision practices in time for its deadline. We successfully guided our insurance company and large retail adviser clients through the transition.
Our proactive approach to all rules and regulations keeps our clients in compliance with the ever-changing regulatory environment. Plus, when you need immediate assistance, our Regulatory Response Services guide your firm through tough SEC exams by providing hands-on exam support, timely document reviews, strategic advising and crisis consulting.
Our experienced staff of former regulators are in your corner precisely when you need us most. We will work behind the scenes to make sure your firm presents its best self to the regulators, and we are happy to give you all the credit. Unlike our competitors that put their own brand on any and all documents produced for your firm, we know that the documents represent YOUR books and records, not ours. All deliverables we produce for you are unbranded as they should be.
Since our typical consultant has approximately 20 years of direct compliance experience, we offer the ability to strategize on complex issues such as fund formulation, organizational change, supervisory structures, employee disciplinary matters, and new products or business lines and their impact on the compliance program. We support our clients during both the ups and downs of the business cycle and are ready to respond 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.