REGULATORY CONSULTING SERVICES
1. Compliance Consulting For Registered Investment Advisors
- Compliance Program Design and Implementation, Monitoring and Testing
- Risk Assessment and Gap Analysis
- Best Execution/Trade Management Reviews
- Code of Ethics/Personal Trading Review
- Anti-Money Laundering Reviews
- Specialized Reviews and Compliance Assessments
- Regulatory Mandated Consulting
- Regulatory Compliance Review
- Mock Regulatory Exams
- CCO Support Services
- Registration Support Services
- Vendor Selection
2. Compliance Consulting For Registered Investment Companies
- Compliance Program Design and Implementation, Monitoring and Testing
- Risk Assessment and Gap Analysis
- Code of Ethics Review
- Anti-Money Laundering Review
- Post Trade Compliance Review
- Assistance with CCO Annual Report Writing
- Specialized Reviews and Compliance Assessments
- Regulatory Compliance Review
- Service Provider Compliance Program Evaluation
- Mock Regulatory Exams
- CCO Support Services
- Design and implementation of an operational metrics program
3. Sarbanes-Oxley Consulting For Registered Investment Companies
- Assistance with Certification reviews for Fund SEC filings
- Assistance with Fund Procedure Design
- Disclosure Control Committee Design
- Fair Value Pricing Design
- Fund Contract Review
- Treasurer Outsource Services
Request for Proposal Process
- RFP Design and Support
- Vendor Selection
4. Compliance Consulting For Broker Dealers
General Consulting Services
- Compliance Program Design and Implementation, Monitoring and Testing
- Anti-Money Laundering Review
- Mutual Fund Sales Practices Review
- Review of Written Supervisory Procedures and Supervisory Control Procedures
- E-mail Review Service
- Specialized Compliance Reviews and Assessments
- Regulatory Compliance Reviews
- OSJ/Branch Inspections
- Continuing Education Needs Analysis/Annual Compliance Meetings
- Regulatory Mandated Consulting
- CCO Support Services
- Review of Client Correspondence
Registration Services
- Initial Application of NASD/NYSE Member Broker/Dealer
- Membership & Registration Changes
- State Applications
- Form BD Amendments
- CRD Filings
- U4 and U5 Filings
- Customer Complaint Filings
Advertising Review
- Advertising Sales Literature & Web Site Review
- Special Projects
- Training
Financial Reporting Services
- Net Capital & FOCUS Filing Support
- Financial Reporting Assistance
- Financial Responsibilities and FINOP Support
- Reviews of Required Books and Records
For further information on any of these consulting services, please contact:
DAVID WHITAKER
Chief Operating Officer, Foreside Financial Group, LLC
News
Sep 30 2009
Foreside is pleased to announce Susan Mosher has joined Foreside as President of Foreside Alternative Investment Services ("FAIS"). more
Sep 25 2009
Foreside is pleased to expand its current relationship with Turner Investment Partners. more
Sep 21 2009
Foreside is pleased to expand its current relationship with Bridgeway Capital Management, Inc. more
Sep 15 2009
Foreside welcomes Ardmore Investment Partners LLC as a new client to our firm. more
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Success Stories
Read about the successful experiences that our clients have had with our services.
