Foreside Financial Group provides compliance services to the fund industry including distribution services, investment company compliance services, info services, fund marketing services and fund distribution services.
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Foreside Financial Group, LLC
On behalf of clients based throughout the U.S. and globally, we provide a range of services to the US fund and advisor market. We partner with most of the major fund administration services providers, enabling our clients to have access to a comprehensive range of services.
Principal Underwriter
Foreside's
Broker-Dealers, all FINRA member firms, serve as Principal Underwriter for
over $200 billion of fund products, including open and closed end funds, and exchange traded funds.
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Compliance Services
Foreside can provide an experienced person to act as your fund's
independent chief compliance officer (CCO) or we can assist your existing CCO with a range of tailored support services.
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Consulting
Foreside can undertake consulting assignments in a number
of areas. Our consultants can provide services to Funds (including hedge
funds), investment advisers and Broker-Dealer firms as well as chief
compliance officers.
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SOX Fund Officers
Foreside can provide experienced individuals to
act as Sarbanes-Oxley certification officers. Our officers can also
serve as President/Principal Executive Officer or Treasurer/Principal
Financial Officer of your fund family.
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News
Apr 24 2009
Foreside is pleased to announced that it has been selected by AdvisorShares Trust to provide distribution and registered representative compliance services. more
Apr 23 2009
Foreside is pleased to announce its acquisition of AFBA's subsidiary broker-dealer, AFBA Five Star Securities Company. more
Apr 22 2009
Foreside is pleased to announce John Linnehan has joined Foreside as President of Foreside Advisory Network, a division of Foreside Fund Services. more
Apr 6 2009
Foreside welcomes Partners Group Private Equity, LLC as a new client to our firm. more
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Fund Marketing
Foreside can provide a team of independent wholesalers to market both open and closed-end fund types. Our expertise includes support for both new and smaller mutual fund families.
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Service Summary
