It’s never been more challenging to prevent compliance deficiencies. Regulators are looking at more aspects of your firm, more closely. We’ll help you avoid deficiencies altogether. Today’s regulatory environment is robust, aggressive, comprehensive – so are our services.
Know beforehand exactly how your staff, structures and systems will fare during an inspection. Our mock audits are designed by former SEC and FINRA examiners that have previously conducted actual exams.
Note: Others may call it a “mock audit” but what you experience falls well short. We perform only true mock audits that mimic actual SEC, NFA/CFTC and FINRA examinations.
“The mock audit conducted by FrontLine Compliance was significant in preparing for our eventual SEC exam. We believe this advanced preparation struck a chord with the SEC – they halted their exam early!”
We’ll pressure test your compliance and supervisory systems before they’re put to the real-world test, and specify detailed changes to prevent violations.
“A talented group that offers the advantage of former regulatory insiders – it’s expertise we value in today’s heightened regulatory environment.”
Annual Compliance Review
Only a package of services designed specifically for your business will give you the peace of mind of knowing your firm will deal with any risks and meet its rule requirements. Our Rule 38a-1 and Rule 206(4)-7 annual reviews are SEC tested.
“We’re extremely pleased with the services we’ve received from FrontLine Compliance. We recognize the value and have expanded our relationship with the firm.”
Registrations and Filings
Intimately understanding the forms, filings, updates, deadlines and preparation nuances probably isn’t one of your core business functions. But it’s one of ours, which frees up your time to do what your new firm or your existing one is in business to do. From Form ADV Parts 1, 2A, and 2B to Form PF for advisers, CTA/CPO filings for funds, and FINRA registrations. FrontLine’s expert staff handles it all with ease:
Form ADV filings – SEC registered investment advisers’ annual filings are due March 31st, other filings may be needed for material changes
Form PF filings – Private funds must file either a quarterly or annual form dependent upon firm size; annual filings are due April 30th
CTA/CPO filings – both annual and quarterly filings are required for pooled investment vehicles
And for initial registrations, our services get you registered fast and in a compliant manner that will pass regulatory scrutiny.
“We hired FrontLine Compliance for our SEC investment adviser registration. The firm’s consultants are extremely responsive and they demonstrated a thorough knowledge base with a regulatory insider’s point of view.”
Customized Compliance Programs
We only create custom SEC compliance programs: off-the-shelf won’t cut it. We create specific and comprehensive written policies and procedures that will be the core of your compliance program. From there we train, implement and help you execute it all.
Program Evaluation/Risk Assessment
We’ll scrutinize your existing procedures and documents to ensure they accurately reflect your business and contain the updated information regulators demand they contain.
One-of-a-kind compliance and risk-management solutions that favorably position your private fund adviser to the SEC as well as your investors.
“Our largest institutional investor loved the compliance manual that FrontLine Compliance drafted. They loved how it was customized versus the boiler plate manuals they see from ACA, etc. I told them that’s why we chose FrontLine!”
Specialized Audit Services
We painstakingly design audits specific to the product, department, supervisory structure or rules that necessitate the need for the audit in the first place. Our new DOL Rule Audits are a prime example, created as a result of the new DOL Fiduciary Rule. We are guiding firms through the new regulation and helping to determine the best approach based upon each firms’ specific business model and client account base. By hiring FrontLine they avoid adding new staff, increasing investment in technology or missing opportunity costs, while complying with regulations.
“Amy Lynch and her firm provide high quality work that is carefully customized for each client. This is not a cookie-cutter shop throwing the same off-the-shelf service to everyone.”
The real value of our decades of first-hand knowledge of compliance rules and regulations is the strategy-driven application of our knowledge, specifically to your business operations. It’s no coincidence that with expert strategies in place, our senior consultants will be your single-best resource. Examples: IMO firms rely on FrontLine’s consultants to navigate the new DOL Rule and our Regulatory Response Services guide registrants through tough SEC exams. Our experienced staff of former regulators are in your corner (and in your office) precisely when you need us most.
We’ll get your senior management, compliance, legal, operations and sales/marketing focused and on the right path. We’re ready to strategize. What are your questions?
“Tapping into the “regulatory experts” at FrontLine Compliance was crucial to our compliance improvements following our SEC exam.”
Working with FrontLine Compliance gives us a true partner in compliance–seasoned consultants who fully understand how to mesh our specific business with the regulatory requirements.