FrontLine Compliance President to Speak on Proper Approach to Performance Advertising & Marketing at IA Week Conference

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Former SEC and FINRA regulator to offer balanced guidance on regulatory challenges facing investment advisers

Amy Lynch, president and founder of FrontLine Compliance, LLC will provide practical and strategic advice to her audience at the upcoming IA Week 8th Annual IA Compliance Fall Conference 2008 on September 22-23, 2008 at the Park Hyatt in Philadelphia. Lynch, a former SEC and FINRA regulator, will be a featured speaker on the topic of achieving the proper balance of effectiveness and compliance when investment advisers use performance advertising and marketing.

"In the current market conditions, investment advisers are seeking to tout their performance history even more through impactful ads and marketing pieces," comments Lynch, also a former investment adviser director of compliance. "Despite the challenging environment, these firms should walk a fine line between meeting their business marketing objectives and heeding the SEC rules on language, disclosures and substantiating past investment performance. A compliance review and evaluation process integrated with marketing will help meet both goals."

Selected as a speaker for her industry and regulatory experience, Lynch will draw on her vast experience with investment adviser 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 consulting firm of former high-level regulatory insiders offering customized services to broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. Staffed by former SEC and FINRA regulators, and chief compliance officers, FrontLine Compliance provides the kind of industry knowledge, experience and expertise on regulatory issues only available from well-seasoned insiders. For more information about the firm, please visit

Amy Lynch, CRCP
FrontLine Compliance, LLC
Phone (703) 518-8860
alynch @

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