Keeping up with all of the changing rules and regulations in the compliance industry can be a full-time job. We help you by sifting through what matters and giving you the timely guidance, postings and news you need.
A compliance culture and the activities that support it are more easily managed and maintained from within the boundaries of a firm’s office environment. A recent survey by IGNITES indicates that many firms are seeing the need for compliance teams, along with finance personnel, to return to the office in a fuller capacity. Chief among…
Leading off the show, FrontLine’s Founder and President Amy Lynch joined CNBC’s “Squawk on the Street” for a live interview on its top story of the day. Ms. Lynch responded to questions surrounding AMC’s market volatility, the latest meme stock to be caught up in extreme price swings. She explains how the SEC could favorably…
Regulators seem to be moving closer to proposing oversight measures for the cryptocurrency markets. While this has been mulled over for some time, more frequent volatility in cryptocurrencies has increased concerns that greater investor protection regulations are needed. FrontLine’s Founder and President, Amy Lynch, points to how especially Bitcoin’s price fluctuation is influenced by public…
SEC Chairman Gary Gensler’s comments on Regulation Best Interest (Reg BI) would likely reinforce the trend of broker-dealers transitioning to the RIA model. For many years the commission-based model has been moving to the fee-based model and now Reg BI provides another reason to make that switch. Plus, Chairman Gensler has recently made it clear…
In this industry podcast, FrontLine’s Founder and President Amy Lynch was exclusively interviewed on what the SEC may be considering in the wake of the Archegos fallout. Ms. Lynch reviews the events surrounding the failure of Archegos and how it has provided the SEC with the rationale to now scrutinize family offices. She responds to…
