Regulatory exam deficiencies are preventable.
We should know: we’re former regulators.

No client we’ve created and managed a program for has ever had a material finding from an exam.

“I’ve personally conducted SEC exams and have trained SEC examiners, so I know what they expect. We create client-specific strategies to meet every one of those expectations.”

— Amy Lynch, FrontLine Compliance Founder

We think “deficient” is a pretty accurate description of the off-the-shelf, one-size-fits-all approach too many compliance firms call solutions.

“FrontLine’s mock audit crucial in preparing for our SEC exam. We believe this advanced preparation struck a chord with the SEC – they halted their exam early!”

— CCO, Investment Adviser Client