FrontLine Compliance

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.

网站

https://www.frontlinecompliance.com

FrontLine Compliance的外部链接

所属行业

金融服务

规模

2-10 人

总部

Rockville，MD

类型

私人持股

创立

2006

领域

regulatory compliance、investment company compliance、'40 Act compliance、investment adviser compliance、FINRA compliance、private fund compliance、forensic testing programs、SEC mock audits和complex and diverse investment firms