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.
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