FrontLine Compliance Crisis Consulting
What one firm deems a crisis may simply be another day for a firm with a different business model. FrontLine Compliance knows the difference.
FrontLine Compliance staff works with your inside and outside counsel during the difficult times. For instance, our staff may be onsite during an enforcement investigation to confer with your staff and counsel on the matter at hand, assist during the document retrieval process, and be witness to any interviews conducted.
We are available to answer those tough questions that come up during a regulatory examination, investigation, or through a firmís own discovery process.
All firms encounter compliance challenges at some point and even the regulators understand this. FrontLine Complianceís staff has handled hundreds of difficult firm scenarios. The founder and President of FrontLine Compliance, Amy Lynch, built a compliance department from scratch for an $8 billion investment adviser with an affiliated broker-dealer. There were many challenges along the way and "putting out fires" became second nature.
Contact us to find out how Ms. Lynch and the staff of FrontLine Compliance would put their skills to work for you.