MyComplianceOffice Blog

On March 23, 2020, the following statement was released from Stephanie Avakian and Steven Peikin, Co-Directors of the SEC’s Division of Enforcement.

The COVID-19 pandemic has brought unprecedented circumstances to the financial services industry and the world around us.

Amy Lynch, CEO of FrontLine Compliance, joined the Human Capital Podcast on March 20 to provide insight on the regulatory impact of the pandemic, emergency relief measures and recent guidance  including Form ADV extensions, Fund Board meetings, Business Continuity Plans, and virtual exams.