2024 will be a busy year for compliance at private funds (FundFire)

There’s no let up for compliance at hedge funds and other private funds this year. On the table for these money managers are rule-specific SEC exams, such as those focused on marketing requirements, as well as new compliance obligations for Form PF, the new Private Fund Rules and potentially several other rules to be finalized. Private fund managers need to step-up their compliance quickly and should prepare for the new Private Fund Rules despite legal…

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More SEC rules and compliance dates arriving this year

SEC registered investment advisers and funds should expect a rules lineup this year perhaps like no other in the recent history of financial regulation. Compliance dates for finalized rules covering private funds, Form PF, money market funds and fund names begin this year and into 2025, while several other rules at the proposal stage are set to be finalized. When the BoardRoom spoke with Founder and President Amy Lynch, she highlighted the Cybersecurity and ESG…

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SEC ups the ante for Marketing Rule compliance (FinancialPlanning)

Expect enforcement actions based on the Marketing Rule to continue to play a major role in the SEC’s aggressive agenda. These cases have already contributed to the nearly $5 billion in penalties and fines recorded by the SEC during its 2023 fiscal year and made public earlier this month. FrontLine Compliance Founder and President Amy Lynch was surprised by how quickly the SEC pursued violations of the Marketing Rule. She comments that the SEC is…

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FrontLine’s Amy Lynch sees an “extremely aggressive” SEC with more to come (IGNITES)

Amy Lynch, FrontLine Compliance’s Founder and President, expects the SEC to leverage its recently released enforcement data to justify the continuation of its aggressive stance. The statistics released by the SEC help support its current exam and enforcement activities, which, according to Ms. Lynch, are showing themselves to be extremely aggressive and intent on uncovering violations. Discussing the 2023 fiscal year enforcement results, SEC Chairman Gary Gensler stated that the figures show the effectiveness of…

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For 10th consecutive year FrontLine named a top hedge fund compliance firm (Hedge Fund Alert)

The recently released annual listing of compliance consultants once again includes FrontLine Compliance as a leading firm offering compliance support and advising to hedge funds. Selected for the 10th consecutive time, the listing features several of FrontLine’s ongoing compliance support services that prepare hedge funds and other types of private funds for regulatory exams. Especially noteworthy is the mention of our FrontLine Edge Platform, a specialized suite of services that ensures full compliance with…

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