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FrontLine Compliance News and Hot Issues
FRONTLINE COMPLIANCE IN THE NEWS
Amy Lynch comments on compliance challenges as VA exchanges increase (InvestmentNews, 5/13/12)
Amy Lynch comments on supplemental material issued for best execution rule (BD Week, 3/12/12)
Amy Lynch provides comments on how firms should handle SEC exams (IGNITES, 3/5/12)
FrontLine Consultant featured in Q&A article on fair value pricing policies (IGNITES, 2/27/12)
FrontLine expands consulting staff by adding two compliance industry veterans (2/1/12 press release)
Amy Lynch quoted on social media policies for investment advisers (Reuters, 1/4/12)
Comments from Amy Lynch featured in "Enforcement Alert" cover story on supervision failures (BD Week, 12/19/11)
FrontLine's Consultants featured in Q&A article on E-mail Surveillance (IGNITES, 11/21/11)
Amy Lynch comments on the challenges of integrating compliance technology (Reuters, 11/10/11)
Amy Lynch comments on risk oversight responsibilities for fund CCOs (IGNITES, 10/17/11)
Amy Lynch quoted on supervision challenges for firms offering self-directed IRAs (InvestmentNews, 10/2/11)
Investment Guideline Reviews Now Crucial in Light of U.S. Debt Downgrade (8/16/11 press release)
Amy Lynch featured in article on the importance of mock SEC exams for hedge funds (The Hedge Fund Law Report, 8/4/11)
Amy Lynch quoted in in "Enforcement Alert" cover story on advertising violations, including misuse of websites (BD Week, 8/8/11)
Amy Lynch quoted in story on CCO compensation (IGNITES, 7/13/11)
Amy Lynch comments on insider trading violations related to expert networks (IA Week, 6/27/11)
Comments from Amy Lynch featured in article on SEC cases against firms, including their CCOs (Advisor One, 6/16/11)
Amy Lynch quoted on challenges for regulatory oversight of social media, mobile devices (IGNITES, 5/26/11)
FrontLine's President featured in Q&A article on compliance considerations for trading practices (IGNITES, 5/2/11)
Amy Lynch comments on FINRA’s new suitability rules (The Wall Street Journal, 4/18/11)
News Archives
FRONTLINE COMPLIANCE IN ACTION!
FrontLine showcases expertise as exhibitor at the IAA Investment Adviser Compliance Conference, March 8-9.
FrontLine to exhibit at the IAA Investment Adviser Compliance Conference in Arlington, VA, 3/8-3/9/12
Amy Lynch featured panel speaker at Linedata Exchange Conference, 10/18/11
Amy Lynch featured speaker at GIPS conference, 7/14-7/16/11
Amy Lynch featured speaker for Linedata webinar on key compliance topics, 5/17/11
Amy Lynch to present at hedge fund event, MFA Network 2011, Palm Beach, FL, 1/31/11
Amy Lynch selected as speaker for Wharton School/FINRA Institute CRCP 10th Anniversary Event in Philadelphia, 11/7/10
FrontLine hosts Half-Day Forum: "Compliance NOW – Myth vs. Reality"
in New York City, 10/21/10
2011 Conference Schedule
2010 Conference Schedule
2009 Conference Schedule
News Archives
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