November 25, 2014
Regulatory experts. Business leaders.
Welcome to FrontLine Compliance, LLC
FrontLine Compliance provides customized compliance services to the investment industry. We specialize in regulatory compliance consulting for investment advisers, broker-dealers, hedge funds, private equity firms, investment companies and insurance company affiliates. Our services are primarily offered to middle market institutional buy-side and sell-side firms in equities, fixed-income and alternatives. We partner with our clients to create value-added services and provide solutions designed to fit your business needs.
Good Compliance is Good Business
As your outsourcing solution, FrontLine Compliance offers cost efficient high level compliance expertise. The benefits to your organization are:
Who We Are
As the ultimate regulatory insiders, the consultants at FrontLine Compliance have served as SEC regulators and examiners, FINRA investigators, and chief compliance officers. Our staff is comprised of experts with backgrounds in a variety of regulatory matters impacting firms today, including SEC and FINRA audits, forensic testing, hedge fund/private fund compliance and variable insurance products.
TODAY'S BUSINESS HEADLINES
WHAT OUR CLIENTS ARE SAYING ABOUT US