Reg BI means revamping marketing materials; Amy Lynch on what’s required (FundFire – Subscription Req’d)

The SEC’s Regulation Best Interest Rule (Reg BI) is causing firms to review and revise marketing materials, which is hinged on their type of firm registration and use of the term “advisor.” According to Founder and President Amy Lynch, broker-dealers are largely impacted, including those affiliated with a registered investment adviser (RIA) or offering financial…

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Amy Lynch’s tips to achieve effective remote compliance featured (Reuters)

Founder and President Amy Lynch recently spoke with national news syndicate Reuters to discuss the challenges posed to remote CCOs and their compliance programs. Ms. Lynch points to the fact that firm employees are now scattered in numerous remote locations, so the CCO does not have the traditional office proximity and physical presence to monitor individuals or…

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FrontLine consultant team presents in webinar on key compliance drivers to maintain market integrity

Founder and President Amy Lynch and Senior Consultant, Giselle Casella, will be presenting “Maintaining Market Integrity in Today’s Regulatory Environment,” hosted by MyComplianceOffice Webinars. The live webinar will take place on May 7, 2020 at 12:00pm EST, and will cover compliance challenges imposed by the COVID-19 environment. New regulatory guidance and exemptions will be reviewed, and high…

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Amy Lynch sees SEC exams adding focus on BCP (Fund Intelligence – Subscription Req’d)

Through exams already underway, the SEC is seeking more information on fund advisers’ Business Continuity Plans (BCP) and pandemic related policies. Founder and President Amy Lynch explains that OCIE is looking at written plans to identify any concerns with those plans over the examination period, as well as their effectiveness for the COVID-19 crisis. Ms….

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Amy Lynch on whether acceptance of COVID-19 loans requires disclosure (InvestmentNews)

SEC registered investment advisers receiving Federal loans under the Paycheck Protection Program (PPP), should consider whether their situation requires an ADV, Part 2 disclosure. FrontLine’s Founder and President, Amy Lynch, comments that advisory firms have to make an assessment of their own unique financial condition to determine if disclosure is necessary. Ms. Lynch advises that disclosure…

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