FrontLine Compliance President to Explore Timely Issues Facing Compliance Programs at New York Event

Share Article

Former SEC and FINRA regulator to speak on compliance challenges facing firms with hard-to-value securities and portfolios.

Amy Lynch, President and founder of FrontLine Compliance, LLC, will offer opportune advice to her audience at the Financial Research Associates Compliance & Operational Best Practices for Hard-to-Value Securities & Portfolios event on March 17-18, 2008 at The Harvard Club in New York City. Lynch, a former SEC regulator, will be a featured speaker on the topic of a Chief Compliance Officer’s (CCO) role in developing an effective compliance program for hard-to-value securities and portfolios.

“Hedge funds and investment advisers are being pressed to find viable procedures for accurately valuing certain securities and portfolios, an area that continues to attract the attention of regulators,” comments Lynch, also a former investment adviser CCO. The Financial Research Associates event will highlight how effective compliance protocols address the regulatory concerns of hard-to-value securities. My panel session will seek to inform participants about having a compliance infrastructure to implement meaningful valuation procedures, deal with operational risks, and implement general compliance best practices.”

Selected as a speaker for her industry and regulatory experience, Lynch will draw on her vast experience with investment adviser and hedge fund compliance matters. She has been recognized as an expert on a number of high profile regulatory issues and previously supervised and coordinated training programs for the SEC, FINRA, and other regulatory agency staff.

FrontLine Compliance, LLC is a regulatory compliance services firm that assists broker-dealers, investment advisers, investment companies, hedge funds, and insurance affiliates in areas of compliance administration and cost reduction. For more information about the firm, please visit http://www.frontlinecompliance.com.

For more information:
Amy Lynch, President
FrontLine Compliance, LLC
Phone 703-518-8860
alynch @ frontlinecompliance.com

# # #

Share article on social media or email:

View article via:

Pdf Print

Contact Author

Visit website