May 20, 2013
Regulatory experts. Business leaders.
Washington, DC Metro Office
107 Royal Street, SW
Leesburg, VA 20175
New York, NY Office
250 Park Avenue
New York, NY 10177
About FrontLine Compliance
FrontLine Compliance, LLC is a full-service independent consulting firm providing regulatory compliance services to investment advisers, broker-dealers, hedge funds, private equity firms, investment companies and insurance company affiliates. We specialize in providing compliance solutions customized to fit your unique business structure.
Our advantage is our people. FrontLine Compliance is made up of highly qualified individuals with years of experience as SEC examiners, FINRA investigators, and chief compliance officers. FrontLine Compliance’s staff has conducted hundreds of regulatory inquiries and investigations. As former regulators we know what the regulators look for when conducting firm examinations and our knowledge is a valuable resource.
Our experienced staff includes certified professionals holding the FINRA Institute/Wharton School sponsored Certified Regulatory Compliance Professional (CRCP) designation. We also speak regularly at compliance conferences and events to help educate the industry on regulatory matters.