July 31, 2014
Regulatory experts. Business leaders.

Our Services
FrontLine Compliance provides custom securities compliance services to the investment industry--broker-dealers, hedge funds, investment advisers, investment companies, and insurance companies.
Mock Regulatory Audits & Compliance Evaluations
Get your compliance audit from FrontLine Compliance.
Forensic Testing of Compliance Functions
FrontLine Compliance is your SEC compliance consulting firm.
Registration and Filings
The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisers.
Hedge Fund & Private Equity Fund Services
The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisers.
Regulatory Response
The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisers.
Customized Policies and Procedures
The regulatory compliance experts at FrontLine Compliance provide compliance services to investment advisers.
Annual Compliance Review

AML Compliance

Crisis Consulting

Contact: 888-518-8070

info@frontlinecompliance.com


FrontLine Compliance provides high quality securities compliance for broker-dealers and investment advisers.

FrontLine Compliance Registration and Filings

Investment Advisers

Form ADV Parts 1, 2A, and 2B are required by all registered investment advisers. Part 2A of Form ADV serves as the official disclosure document to advisory clients. It is imperative that these documents are filed timely, accurately, and fairly represent your firm's activities. Our staff of regulatory experts can assist you with:

  • SEC and State Notice Filings
  • Annual filing updates
  • CFTC/NFA Registration
  • Form PF Filings

Broker-Dealers

The broker-dealer registration process is complex. Broker-dealer firms must register with the SEC as well as at least one SRO (self-regulatory organization). The application process consists of lengthy forms, document production, net capital requirements, interviews, and strict timelines.
 

FrontLine Compliance staff has many years experience dealing with broker-dealer regulators and can make the registration process as painless as possible. We assist firms through the registration process by:

  • Preparing and filing SEC Form BD
  • Preparing and filing FINRA Form NMA
  • Preparing and filing any other SRO forms
  • State filings
  • Creating your Written Supervisory Procedures (WSP)
  • Reviewing and editing your Business Plan
  • Developing and implementing a customized Compliance Program
  • Annual filing updates