AML Services
With our customized programs, Foreside is prepared to help fund clients meet their Anti-Money Laundering (“AML”) compliance needs. You can enlist Foreside to assist your existing AML Officer on a consulting basis or to provide a qualified person to serve in the capacity of AML Officer for your funds.
Our services include:
- Providing a qualified person, who is competent and knowledgeable regarding AML rules and regulations, to serve as the fund’s named AML Officer.
- Reviewing the adequacy of AML compliance policies and procedures and the effectiveness of their implementation.
- Reviewing the fund’s AML Program to incorporate any new or changed regulations or best practice recommendations.
- Drafting AML policies, procedures and internal controls.
- Designing or reviewing risk-based testing methods for the AML Program's policies and procedures.
- Performing and documenting independent testing of AML Program control procedures.
- AML Program training.
- AML Consulting Services
Prior to any engagement, Foreside performs a conflict of interest analysis in order to verify that we are fully qualified to conduct independent testing of your systems and provide certification of our independence.
For further information, 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
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