FrontLine Compliance News Archives 2011

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FrontLine Compliance in the News

• NOV 2011 - Comments from Amy Lynch featured in "Enforcement Alert" cover story on supervision failures (BD Week, 12/19/11)
• NOV 2011 - FrontLine's Consultants featured in Q&A article on E-mail Surveillance (IGNITES, 11/21/11)
• NOV 2011 - Amy Lynch comments on the challenges of integrating compliance technology (Reuters, 11/10/11)
• OCT 2011 - Amy Lynch comments on risk oversight responsibilities for fund CCOs (IGNITES, 10/17/11)
• OCT 2011 - Amy Lynch quoted on supervision challenges for firms offering self-directed IRAs (InvestmentNews, 10/2/11)
• AUG 2011 - Investment Guideline Reviews Now Crucial in Light of U.S. Debt Downgrade (8/16/11 press release)
• AUG 2011 - Amy Lynch featured in article on the importance of mock SEC exams for hedge funds (The Hedge Fund Law Report, 8/4/11)
• AUG 2011 - Amy Lynch quoted in in "Enforcement Alert" cover story on advertising violations, including misuse of websites (BD Week, 8/8/11)
• JUL 2011 - Amy Lynch quoted in story on CCO compensation (IGNITES, 7/13/11)
• JUN 2011 - Amy Lynch comments on insider trading violations related to expert networks (IA Week, 6/27/11)
• JUN 2011 - Comments from Amy Lynch featured in article on SEC cases against firms, including their CCOs (Advisor One, 6/16/11)
• MAY 2011 - Amy Lynch quoted on challenges for regulatory oversight of social media, mobile devices (IGNITES, 5/26/11)
• MAY 2011 - FrontLine's President featured in Q&A article on compliance considerations for trading practices (IGNITES, 5/2/11)
• APR 2011 - Amy Lynch comments on FINRA’s new suitability rules (The Wall Street Journal, 4/18/11)
• APR 2011 - Amy Lynch quoted on the use of social media within the current regulatory environment (Registered Rep, 4/1/11)
• MAR 2011 - Amy Lynch comments on the practical use of technology to prevent insider trading (Wall Street & Technology, 3/21/11)
• MAR 2011 - Comments from Amy Lynch featured in "Enforcement Alert" cover story on the importance of e-mail retention policies (BD Week, 3/21/11)
• FEB 2011 - Amy Lynch quoted on compliance obligations for advisers using social-networking sites (FA News, 2/22/11)
• FEB 2011 - Amy Lynch comments on SEC's priorities and funding challenges (IGNITES, 2/15/11)
• FEB 2011 - Amy Lynch provides tips in "Enforcement Alert" cover story on complying with registration rules (BD Week, 2/7/11)
• JAN 2011 - Amy Lynch quoted in article discussing potential impact of a uniform fiduciary standard (InvestmentNews, 1/30/11)

ComplianceAlerts

• Important year-end dates for IARD and WebCRD. (11/15/11)
• Form PF approved by SEC. First filing due June 30, 2012 for largest advisers. (10/27/11)
• Master/Sub-Account Relationships = Higher Risk for Broker-Dealers (10/11/11)
• SEC reviews statutory exclusion for mortgage-related pools (9/9/11)
• SEC seeks information on the use of derivatives by investment companies (9/7/11)
• SEC adopts large trader reporting rule to enhance market oversight (8/15/11)
• New Rule requires Operations Professionals to register with FINRA (8/9/11)
• SEC Adopts Rules Under Title IV of Dodd-Frank (6/22/11)
• Broker-Dealer Financial Audits Under Scrutiny (6/20/11)
• SEC Registration Deadline of July 21, 2011 Quickly Approaching (6/15/11)
• SEC adopts whistleblower program...and funds it! (5/26/11)
• Third of a Series on ADV Part 2 (3/25/11)
• Second of a Series on ADV Part 2 (3/24/11)
• First of a Series on ADV Part 2 (3/23/11)
• SEC releases two studies under Dodd-Frank Act (1/25/11)

Hot Issues

• SEC approves amendments to Form ADV, Part 2
• SEC new process for collecting comments on regulatory initiatives of Dodd-Frank Act
• FinReg/Dodd-Frank Act summary and highlights
• FINRA, SEC and NASAA issue joint report addendum on protecting senior investors
• SEC FAQ on reforms of money market fund rule
• SEC release seeks comments for Dodd-Frank required study on standards of care and fiduciary duty
• SEC rule proposal to replace Rule 12b-1 – comments due by 11/5/10
• DOL fact sheet on interim final rule for ERISA fee disclosures
• SEC final rule on new authority provisions for Director of Enforcement – effective 8/16/10
• ICI comment letter to SEC on consolidated audit trail (CAT) proposal
• FINRA proposed rule on verification of assets – comments due by 9/1/10
• SEC letter on prospectus disclosures of derivatives by investment companies
• SEC staff report of life settlements