In the face of the COVID-19 pandemic, protecting vulnerable consumers is a regulatory priority. Recently, the SEC has emphasized the need for maintaining market integrity and following controls and procedures. In addition, recent SEC and FINRA actions have shown that enforcing conflicts of interest remains a priority and conduct risk-based inspections will continue to advance.
Join MCO and two members of FrontLine Compliance, Amy Lynch, Founder and President and Giselle Casella, Senior Consultant, for a webinar that delves into the areas of concern compliance professionals need to navigate to manage today’s challenging regulatory expectations.
Amy Lynch has earned her industry expert status through her regulatory experience with the SEC and FINRA, and through senior management private-sector roles as CCO, DOC, and Vice President. Amy founded FrontLine Compliance on this extensive experience.
Amy’s range of knowledge encompasses her 20+ years in the regulatory compliance field. She began her distinguished career conducting examinations for the SEC. Working in both the New York and Washington, DC offices, Amy examined mutual funds, investment advisers, and insurance firms nationwide.
As a Special Investigator with FINRA, Amy specialized in heightened regulatory issues confronting the securities industry. She expertly managed several industry-wide sweeps conducted by FINRA Enforcement. In the private sector, she has served as DOC and CCO for Mercantile Capital Advisors and E*Trade Financial. As Vice President at RegEd.com, she developed a leading branch-audit software program.
Amy is recognized as an expert on regulatory issues involving investment adviser and broker-dealer compliance, insurance products, mutual funds, and private funds. She 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.
Giselle Casella has over 20 years of SEC regulatory compliance experience with registered investment advisers and funds and works closely with many clients of FrontLine Compliance providing consulting services.
Giselle began her career at the SEC as an examiner where she conducted reviews and exams of SEC registered investment advisers. Following the SEC, Giselle spent nearly ten years as an in-house compliance professional, including senior level roles at various large diversified financial institutions. These included AIG, Prudential, UBS, Allianz, and Deutsche Bank. Giselle’s responsibilities included annual compliance reviews, oversight of global policies and procedures, preparing regulatory filings and disclosures, trade surveillance, subadviser due diligence, anti-bribery oversight for gifts and entertainment and political and charitable contributions, employee training, conflicts of interest oversight, and participation on various committees. Giselle most recently was as a consultant with ACA Compliance Group where she provided compliance services and consulting to SEC registered firms.
During her career, Giselle has presented on webcasts and conference panels and has written a number of articles and industry alerts. She also currently serves as Adjunct Professor at Utica College, where she teaches online graduate courses on compliance. Giselle holds a BBA in Finance from Pace University, an MBA from Regis University, and an MS in Cybersecurity from Utica College.