Amy Lynch, President of FrontLine Compliance, LLC to Speak at KC’s Event on “Rule 3110: Opening Gates for Optimal Corporate Performance Live Webinar” on 01/27/09
New York, NY, October 31, 2008 --(PR.com)-- The Knowledge Congress, the leading producer of regulatory focused webinars announced today that Amy Lynch, the President of FrontLine Compliance, LLC will speak at the Knowledge Congress’ upcoming webinar entitled “Rule 3110: Opening Gates for Optimal Corporate Performance”. This 2-hour event is scheduled for January 27, 2009, Tuesday, at 12:00 PM - 2:00 PM ET. (For further details of the event and an updated list of panelists, please visit: (http://www.knowledgecongress.org/event_2008_3110.html)
The NASD Rule 3110, provides specific requirements for how NASD members capture and store customer information. The rule applies to all records, mail, e-mail and instant messaging and most data collected from their customers. The rule also specifies how the records are processed, stored and in what format. Failure to comply with Rule 3110 could lead to substantial penalties.
The Knowledge Congress is assembling a panel of distinguished professionals and key regulators to help understand the impact of Rule 3110 and the indexed annuities market. The speakers will present their expert opinions in a two-hour Live Webinar.
About Amy Lynch
Amy Lynch is the founder and President of FrontLine Compliance, LLC.
Ms. Lynch has over 19 years experience in the financial industry. She began her compliance career with the SEC’s Office of Compliance Inspections & Examinations, working in both the New York and Washington, DC offices. At the SEC, she was responsible for conducting examinations of mutual funds, investment advisers, and insurance firms nationwide. From there she moved into the private sector where she served as DOC and CCO for firms such as Mercantile Capital Advisors, Inc. (a bank affiliated investment adviser) and E*Trade Financial, and was Vice President at RegEd.com, where she developed a leading branch audit software program. Ms. Lynch later returned to the regulatory side with FINRA’s Enforcement Department in Washington, DC. There she specialized in heightened regulatory issues confronting the securities industry and was responsible for managing several industry wide “sweeps” conducted by FINRA Enforcement.
During her distinguished career, Ms. Lynch has been recognized as an expert on a number of high profile regulatory issues involving investment adviser compliance, variable insurance products, mutual funds, and hedge funds. Ms. Lynch was one of the first graduates of the FINRA Institute/Wharton School Certification Program and holds the Certified Regulatory Compliance Professional (“CRCP”) designation in addition to her B.S. in Business and Economics.
Ms. Lynch has been a frequent speaker at industry conferences sponsored by such organizations as the Securities Industry and Financial Markets Association (SIFMA), ALI-ABA, Institutional Investor, IA Watch, BD Week and Financial Research Associates. She has presented on a variety of regulatory topics such as investment adviser compliance, variable product compliance, soft dollars, mutual fund compliance, valuation, advertising, electronic communications and outsourcing.
About FrontLine Compliance
FrontLine Compliance, LLC, (FLC) is a full-service independent consulting firm providing compliance services to broker-dealers, hedge funds, investment advisers, investment companies, and insurance affiliates. They specialize in providing compliance solutions customized to fit your unique business structure.
FrontLine Compliance's advantage is their people. FLC is made up of highly qualified individuals with years of experience as SEC Examiners, NASD Investigators, and Chief Compliance Officers of broker-dealers and investment advisers. FLC’s staff has conducted hundreds of regulatory inquiries and investigations. As former regulators they know what the regulators look for when conducting firm examinations and their knowledge is a valuable resource. Each of their consultants holds the Wharton School sponsored Certified Regulatory Compliance Professional (CRCP) designation or is in the process of obtaining certification.
They take their responsibility to the industry as seriously as they do their commitment to their clients.
For more information about Amy Lynch and FrontLine Compliance, please visit: http://www.frontlinecompliance.com/
About The Knowledge Congress
The Knowledge Congress is an organization that produces webinars that examine regulatory changes across a variety of industries. “We bring together the world's leading authorities and industry participants through informative two-hour webinars to study the impact of changing regulations.”
To contact or to register to an event, please visit: www.knowledgecongress.org.
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The NASD Rule 3110, provides specific requirements for how NASD members capture and store customer information. The rule applies to all records, mail, e-mail and instant messaging and most data collected from their customers. The rule also specifies how the records are processed, stored and in what format. Failure to comply with Rule 3110 could lead to substantial penalties.
The Knowledge Congress is assembling a panel of distinguished professionals and key regulators to help understand the impact of Rule 3110 and the indexed annuities market. The speakers will present their expert opinions in a two-hour Live Webinar.
About Amy Lynch
Amy Lynch is the founder and President of FrontLine Compliance, LLC.
Ms. Lynch has over 19 years experience in the financial industry. She began her compliance career with the SEC’s Office of Compliance Inspections & Examinations, working in both the New York and Washington, DC offices. At the SEC, she was responsible for conducting examinations of mutual funds, investment advisers, and insurance firms nationwide. From there she moved into the private sector where she served as DOC and CCO for firms such as Mercantile Capital Advisors, Inc. (a bank affiliated investment adviser) and E*Trade Financial, and was Vice President at RegEd.com, where she developed a leading branch audit software program. Ms. Lynch later returned to the regulatory side with FINRA’s Enforcement Department in Washington, DC. There she specialized in heightened regulatory issues confronting the securities industry and was responsible for managing several industry wide “sweeps” conducted by FINRA Enforcement.
During her distinguished career, Ms. Lynch has been recognized as an expert on a number of high profile regulatory issues involving investment adviser compliance, variable insurance products, mutual funds, and hedge funds. Ms. Lynch was one of the first graduates of the FINRA Institute/Wharton School Certification Program and holds the Certified Regulatory Compliance Professional (“CRCP”) designation in addition to her B.S. in Business and Economics.
Ms. Lynch has been a frequent speaker at industry conferences sponsored by such organizations as the Securities Industry and Financial Markets Association (SIFMA), ALI-ABA, Institutional Investor, IA Watch, BD Week and Financial Research Associates. She has presented on a variety of regulatory topics such as investment adviser compliance, variable product compliance, soft dollars, mutual fund compliance, valuation, advertising, electronic communications and outsourcing.
About FrontLine Compliance
FrontLine Compliance, LLC, (FLC) is a full-service independent consulting firm providing compliance services to broker-dealers, hedge funds, investment advisers, investment companies, and insurance affiliates. They specialize in providing compliance solutions customized to fit your unique business structure.
FrontLine Compliance's advantage is their people. FLC is made up of highly qualified individuals with years of experience as SEC Examiners, NASD Investigators, and Chief Compliance Officers of broker-dealers and investment advisers. FLC’s staff has conducted hundreds of regulatory inquiries and investigations. As former regulators they know what the regulators look for when conducting firm examinations and their knowledge is a valuable resource. Each of their consultants holds the Wharton School sponsored Certified Regulatory Compliance Professional (CRCP) designation or is in the process of obtaining certification.
They take their responsibility to the industry as seriously as they do their commitment to their clients.
For more information about Amy Lynch and FrontLine Compliance, please visit: http://www.frontlinecompliance.com/
About The Knowledge Congress
The Knowledge Congress is an organization that produces webinars that examine regulatory changes across a variety of industries. “We bring together the world's leading authorities and industry participants through informative two-hour webinars to study the impact of changing regulations.”
To contact or to register to an event, please visit: www.knowledgecongress.org.
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The Knowledge Congress
Thomas LaPointe, Jr., Executive Director
1.800.578.4370
www.knowledgecongress.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Thomas LaPointe, Jr., Executive Director
1.800.578.4370
www.knowledgecongress.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
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