The delicate balance between investor protections and restrictions (Kiplinger)

The surge of online trading during the pandemic coupled with events earlier this year surrounding GameStop have posed a challenging situation for regulators. Now being studied by the SEC and other regulators, they are seeking to determine whether new rules should be proposed to curb speculative trading, dampen volatility and increase disclosures as further protections…

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Path to finalizing finders exemption up in the air (Law360)

Finders assist private funds with raising capital and a rule proposal providing them an exemption from registration may or may not be on the SEC’s new agenda. The proposed exemption would allow transaction based compensation for finders not registered as a broker-dealer, which would be dependent upon their activity as defined by the rule. However,…

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Family offices suddenly a growing part of the regulatory agenda (Business Insider and ThinkAdvisor)

Even before the name Archegos became known for the wrong reasons, family offices were slated for another look by the SEC. The rule allowing family offices to be exempt from SEC registration is planned for review this year, but now the spotlight has grown for looking further at regulatory oversight options. FrontLine’s Founder and President…

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Recent regulatory concerns turn SEC’s attention to hedge funds (FundFire)

Hedge fund exams over the last year have focused on a myriad of well known issues such as expense allocations, investor disclosures and valuations, among others. Now the SEC appears poised to ramp up its scrutiny even more. Amy Lynch, FrontLine’s Founder and President, expects the SEC to seize on the concerns raised by the…

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Amy Lynch is compliance consultant of the year finalist (Compliance Week)

FrontLine Compliance Founder and President Amy Lynch has been selected as a “Compliance Consultant/Advisor of the Year” finalist for the 2021 Excellence in Compliance Awards. The finalist recognition and awards, presented annually by Compliance Week, honor the top compliance leaders and their firms across all industries. Ms. Lynch has been named as one of five…

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