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Last week the SEC released FAQs on Reg BI, the central part of the new regulations passed by the SEC that intend to offer more protections to retail investors. Reg BI and its related Form CRS, the customer relationship disclosure document, are required to be implemented by June 30th of this year. Founder and President Amy Lynch…
The recent release of the SEC’s 2020 exam priorities has put firms with ESG investment strategies on notice. This next year, as one of its exam priorities, OCIE plans to focus on the disclosures provided by these firms to their clients. Amy Lynch, Founder and President, comments that the SEC is taking note of the proliferation of firms…
On January 7, 2020, the Office of Compliance Inspections and Examinations (“OCIE”) released its 2020 Examination Priorities Report (the “Report”). The 2020 Report was released later than expected after the previous year’s early release in December 2018 (for the 2019 Report). It appears that the SEC is still playing “catch up” on its 2019 agenda,…
Proposed rule amendments to revise the SEC’s definition of an accredited investor were recently moved forward by the regulator. FrontLine’s Founder and President, Amy Lynch, states that the SEC’s potential rule amendments could be problematic and expose certain investors to higher risks, based on amended definitions of what would qualify an individual for accredited investor…
FrontLine’s Founder and President, Amy Lynch, has received a nearly perfect speaker rating from Chief Compliance Officers and other compliance professionals attending the NSCP 2019 National Conference. Ms Lynch was a featured speaker at the well attended, largest annual compliance conference, which took place October 21-23, 2019. Ms. Lynch received a grade of 4.9 out of 5 from…