The Knowledge Group
The Knowledge Group

Amy Lynch, President of Frontline Compliance LLC, to Speak at the Knowledge Congress’ “NASD Rule 2821 Amendment No. 4” Event on August 2007

New York, NY, July 28, 2007 --( The Knowledge Congress, the leading producer of regulatory focused teleconferences has announced today that Amy Lynch, President of frontline Compliance LLC, will speak at the Knowledge Congress’ upcoming teleconference entitled: “NASD Rule 2821 Amendment No.4: Best Practices Explored.” This 2-hour event is scheduled on August 2, 2007, Thursday at 1:00 PM EST. (For further details and an updated panelist list for this event, please visit:

In March 2007, the NASD filed Amendment No. 4 to the proposed NASD Rule 2821 which prescribes sweeping changes in sales practices and supervisory requirements for dealings in deferred variable annuities. The new rule poses a number of changes specifically designed to ensure compliance that includes specific governing recommendations and training requirements.

The Knowledge Congress has assembled a panel of distinguished experts who will share their insights on the legal implications of these policies to the organizations most impacted by them. The panel will present their findings in this two-hour live teleconference.

About Amy Lynch

Ms. Lynch is the founder and President of FrontLine Compliance, LLC (FLC).

She has over 18 years experience in the financial industry. Ms. Lynch 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 in senior compliance management positions for firms such as Mercantile Capital Advisors, Inc. (a bank affiliated investment adviser), E*Trade Financial, and Ms. Lynch later returned to the regulatory side with NASD’s Enforcement Department in Washington, DC. She specialized in heightened regulatory issues confronting the securities industry and was responsible for managing several industry wide “sweeps” conducted by NASD Enforcement during 2003-2005.

During her distinguished career, Ms. Lynch has been recognized as an expert on a number of high profile regulatory issues, including variable insurance products and the specific compliance concerns facing the insurance industry. Ms. Lynch was one of the first graduates of the NASD Institute/Wharton School Certification Program and holds the Certified Regulatory Compliance Professional (“CRCP”) designation in addition to her B.S. in Marketing and Economics.

Ms. Lynch speaks regularly before the industry at various compliance conferences sponsored by groups such as Institutional Investor, BDWeek, and Financial Research Associates, LLC.

For more information about Amy Lynch and her firm, please visit:

About The Knowledge Congress

The Knowledge Congress is an organization that produces teleconferences that examine regulatory changes across a variety of industries. “We bring together the world's leading authorities and industry participants through informative two-hour teleconferences to study the impact of changing regulations.” To contact or to register to an event, please visit:

The Knowledge Congress
Thomas LaPointe, Jr., Executive Director
Therese Lumbao
Director, Account Management & Member Services