August 2, 2014
Regulatory experts. Business leaders.

Our Services
FrontLine Compliance provides hedge fund registration, adviser compliance, sec registration, and independent compliance audits.
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The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisers.
About FrontLine Compliance
The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisers.
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Get your compliance audit from FrontLine Compliance.
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The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisors.
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Broker-dealers, investment advisers, and hedge fund dealers rely on FrontLine Complaince for their SEC and FINRA securities compliance audits.

FRONTLINE COMPLIANCE
IN THE NEWS

Amy Lynch comments on SEC plan to exam more advisers in 2014 (InvestmentNews, 11/1/13)
Trust your hedge fund registration to the compliance consulting experts at FrontLine Compliance.
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Your experts at FrontLine Compliance will handle your hedge fund registration, adviser compliance, sec registration, and independent compliance audits needs.
FRONTLINE COMPLIANCE
IN ACTION!

FrontLine hosts webinar "SEC Exam Priorities for 2014: What's Next?" 12/10/13

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Investment advisers rely on FrontLine Compliance for their regulatory adviser compliance.
FRONTLINE COMPLIANCE
SPEAKS

Regulatory compliance experts, FrontLine Compliance wall perform a compliance audit for your investment brokerage, broker-dealer, or investment advisor buisness.

FrontLine Compliance Capabilities Brochure

Our Capabilities Brochure

FrontLine Compliance, LLC on LinkedIn

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.
 

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Good Compliance is Good Business

As your outsourcing solution, FrontLine Compliance offers cost efficient high level compliance expertise. The benefits to your organization are:

  • Lower overhead expenses, higher revenue, and increased compliance efficiencies
  • Access to experienced staff and compliance industry leaders
  • Highly responsive, customized service along with regular updates on current regulatory issues

Review Our Services
 

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.
 

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TODAY'S BUSINESS HEADLINES

FrontLine Compliance is a proud member of:
 
Institute of Management Consultants          SIFMA          ACFE
         NSCP          100 Women in Hedge Funds

For a complimentary consultation:
888-518-8070
info@frontlinecompliance.com
 

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WHAT OUR CLIENTS ARE SAYING ABOUT US

"Working with FrontLine Compliance gives us a true partner in compliance - seasoned consultants who fully understand how to mesh our specific business with the regulatory requirements."
  —- Managing Partner,
        Hedge Fund Client


"You want Amy Lynch on your team when the going gets tough. Amy's knowledge coupled with her ability to execute ensures excellent results. We've had only positive experiences with Amy and her consultants."
  —- CEO,
         Broker-Dealer Client/
         Investment Adviser Client


"Tapping into the "regulatory experts" at FrontLine Compliance was crucial to our compliance improvements following our SEC exam."
  —- Chief Compliance Officer,
        Broker-Dealer Client


"Amy Lynch and her firm provide high quality work that is carefully customized for each client. This is not a cookie-cutter shop throwing the same off-the-shelf service to everyone."
  —- CEO,
        Broker-Dealer Client


"FrontLine Compliance has been great - the right match for us at the right time. SEC veterans with a broad depth of knowledge. Responsive. Professional. Fairly priced. An excellent firm we highly recommend."
  —- Deputy Chief Compliance Officer,
        Investment Adviser Client


"A talented group that offers the advantage of former regulatory insiders - it's expertise we value in a heightened regulatory environment."
  —- Compliance Officer,
        Hedge Fund Client


"Sometimes with consulting firms you don't know what you're getting - that was never a thought with FrontLine Compliance."
  —- Chief Compliance Officer,
        Investment Adviser Client


"The mock audit conducted by FrontLine Compliance was significant in preparing for our eventual SEC exam. We believe this advanced preparation struck a chord with the SEC - they halted their exam after only three and a half days!"
  —- Chief Compliance Officer,
        Investment Adviser Client


"We're extremely pleased with the services we've received from FrontLine Compliance. We recognize the value and have expanded our relationship with the firm."
  —- CEO,
        Broker-Dealer Client


"We hired FrontLine Compliance for our SEC investment adviser registration. The firm's consultants are extremely responsive and they demonstrated a thorough knowledge base with a regulatory insider's point of view."
  —- Chief Compliance Officer,
        Hedge Fund Client


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