Keeping our industry informed #moneymanagement #privatefunds #regulations #complianceservices #thoughtleaders #frontlinecompliance #frontlineexperts #frontlineedge
FrontLine Compliance
Financial Services
Rockville, MD 2,093 followers
Proven game-changers. Let us show you your next move.
About us
Since 2006, FrontLine Compliance has shown top-tier investment firms the strategic and economic advantages of thinking proactively and strategically about compliance. Our consulting services employ a deep-dive, customized approach that is rigorous and irrefutably successful. Our clients enjoy prompt response and ready access to our senior executives. We have a 10-year experience prerequisite for our consultants - they’re former SEC examiners, FINRA investigators and CCOs fluent in Investment Adviser and Investment Company ’40 Act rules, FINRA/SEC regs and compliance technology. See how our first-hand knowledge of compliance rules and regulations become strategy-driven solutions helping you achieve your compliance and business goals. For more information, please visit frontlinecompliance.com.
- Website
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http://www.frontlinecompliance.com
External link for FrontLine Compliance
- Industry
- Financial Services
- Company size
- 2-10 employees
- Headquarters
- Rockville, MD
- Type
- Privately Held
- Founded
- 2006
- Specialties
- regulatory compliance, investment company compliance, '40 Act compliance, investment adviser compliance, FINRA compliance, private fund compliance, forensic testing programs, SEC mock audits, and complex and diverse investment firms
Locations
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Primary
Get directions
6010 Executive Blvd.
Suite 703
Rockville, MD 20852, US
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Get directions
Employees at FrontLine Compliance
Updates
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Join our expert team! Check our our latest job posting and apply via LinkedIn or at careers@frontlinecompliance.com. FrontLine Compliance is comprised of seasoned compliance pros that understand that a proactive compliance strategy is an absolute necessity, and that standardized compliance offerings just don't cut it with the regulators or investors. https://lnkd.in/ekRcxVm4
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Amy Lynch, Founder & President, was live on air 📡 - replay of her interview on the top financial news, CNBC's "Squawk Box" #regulatorycompliance #guru #makingwaves
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Founder & President Amy Lynch was back to the mic 🎙 for more #expert insights on the top financial news of the day with Fox Business Network and Liz Claman
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Watch Founder & President Amy Lynch's live interview📽on CNBC's "Squawk Box" earlier today! #onair #inthenews #complianceexpert #roaringkitty #gamestop
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Founder & President Amy Lynch will appear today on Fox Business "The Claman Countdown" Tune in at 3:05pm ET (approx.) to watch Amy discuss the "Roaring Kitty" livestream any regulatory implications from it. https://lnkd.in/eZy4KFX #inthenews #foxbusiness #complianceguru #frontlinecompliance #frontlineexperts #frontlineedge
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FrontLine Compliance reposted this
Upcoming Live CNBC Interview with Amy Lynch, Founder & President. Tune in Today at 7:20am ET to watch Amy discuss the "Roaring Kitty" mania on Squawk Box https://lnkd.in/d3rRun9 #squawkbox #inthenews #complianceguru #frontlinecompliance #frontlineexperts #frontlineedge
Upcoming - Live CNBC Interview with Amy Lynch
https://www.frontlinecompliance.com
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Upcoming Live CNBC Interview with Amy Lynch, Founder & President. Tune in Today at 7:20am ET to watch Amy discuss the "Roaring Kitty" mania on Squawk Box https://lnkd.in/d3rRun9 #squawkbox #inthenews #complianceguru #frontlinecompliance #frontlineexperts #frontlineedge
Upcoming - Live CNBC Interview with Amy Lynch
https://www.frontlinecompliance.com
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SEC rule upends process for shareholder reports - Amy Lynch quoted extensively on the rule's impact and challenges posed by its mailing requirement. "...The new rule adds extra steps for fund advisers who have to re-examine shareholder authorizations to verify which have opted for electronic delivery and make an extra effort to ask for permission from shareholders who either didn’t opt in to electronic delivery or didn’t express a preference," according to Amy Lynch, president of consulting firm FrontLine Compliance. https://lnkd.in/eGx5yWUV #mutualfunds #etfs #funds #shareholders #compliance #rule #frontlinecompliance #frontlineedge #frontlineexperts
SEC rule upends process for shareholder reports (Fund Directions)
https://www.frontlinecompliance.com
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Lack of uniformity throws confusion into ESG regs - Founder and President Amy Lynch states that the lack of uniformity will make it very hard for firms that operate globally in various jurisdictions to stay in compliance with marketing materials utilized for ESG fund offerings. "One of the reasons why the SEC has been maybe hesitant to finalize the ESG regulations here for advisors and funds is because of the lack of clarification globally," she said. "It's a lack of continuity in regulation regarding ESG." https://lnkd.in/eFXZirFy #esg #regulations #europeanunion #frontlinecompliance #frontlineexperts #frontlineedge
Lack of uniformity throws confusion into ESG regs (IGNITES)
https://www.frontlinecompliance.com