Human Capital: FrontLine Compliance's Lynch Details Regulatory Relief Due to Coronavirus

In this episode of Human Capital, we talk with Amy Lynch, president and founder of FrontLine Compliance, on the regulatory relief put in place by the Securities and Exchange Commission as well as the Financial Industry Regulatory Authority in light of the coronavirus pandemic.

With work-at-home policies in place, advisory firms, broker-dealers and fund boards are being given some leeway when it comes to Form ADV filings and fund board meetings, among other areas. Compliance dates may get pushed off – namely the June 30 enforcement date for the Securities and Exchange Commission’s Regulation Best Interest.

Listen in as Lynch — a former SEC staff accountant and special investigator at FINRA — clarifies some important details about the regulatory relief, how regulatory exams are moving ahead — but changing — and why firms can likely expect new, updated rules on business continuity planning.

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— More Human Capital Podcasts: 

1. ARA’s Wielobob Details DOL, IRS Secure Act To-Do List
2. Stradley Ronon’s Gerstein Dissects State Fiduciary Rule Race
3. Ed Slott Tackles Thorniest Secure Act Provisions
4. ACA’s Di Florio on How Tech Is Crucial Tool in Regulators’ Arsenal
5. Brian Hamburger Details Critical Aspects of SEC’s 2020 Exam Priorities
6. Investor Advocate Barbara Roper Doesn’t Mince Words on SEC Rules
7. Compliance Guru Todd Cipperman Breaks Down SEC’s New Ad Rule
8. Norm Champ, Ex-SEC IM Director, Takes on Financial Literacy
9. Ric Edelman on Social Security Crisis, SEC’s Crypto Fail
10. CFP Board’s Keller Gets Blunt on New Ethics Standards, Reg BI

Melanie Waddell

@Think_MelanieW