Foreside's 38a-1 Compliance Program
Foreside Fund Services LLC (Foreside) has developed an extensive 38a-1 compliance program that can easily be tailored to a specific fund board's requirements.
Developed over a period of a year by our own CCO staff, including seasoned 40's act lawyers, Foreside's program covers all of the critical fund compliance areas with detailed check-points against the appropriate regulatory references.
Foreside's program is carefully monitored pursuant to our extensive compliance program matrix, which consists of 18 major compliance review areas with multiple sub-sections (see below).
For further information please contact:
DAVID WHITAKER
Chief Operating Officer, Foreside Financial Group, LLC
Compliance Program Contents:
ADEQUACY AND ACCURACY OF FUND DISCLOSURE
DISCLOSURE OF PORTFOLIO HOLDINGS AND OTHER NON-PUBLIC INFORMATION
GOVERNMENTAL/ REGULATORY REPORTS AND FILINGS
GOVERNANCE (BOARD COMPOSITION, BOARD COMMITTEES)
BUSINESS CONTINUITY
CODES OF ETHICS AND INSIDER TRADING POLICIES
TRADING PRACTICES
PROXY VOTING
FEES AND EXPENSES
INVESTMENT POLICIES AND RESTRICTIONS
PORTFOLIO MANAGEMENT PROCESS
HANDLING OF MUTUAL FUND ORDERS
SHAREHOLDER COMPLAINTS/SHAREHOLDER PRIVACY
BROKER-DEALER SUPERVISOR PROCEDURES FOR FUND SALES
FUND ACCOUNTING PROCEDURES/FINANCIAL CONTROLS
CUSTODY OF FUND PORTFOLIO SECURITIES
RECORDS RETENTION/DESTRUCTION
INSURANCE COVERAGE/OTHER
News
Dec 15 2008
Foreside makes a charitable donation in the name of our clients in lieu of holiday gifts. more
Aug 18 2008
Foreside has concluded its expansion of the Portland, Boston, and Columbus offices. more
Jul 1 2008
Foreside is pleased to extend its existing service relationship with RMR Advisors, Inc. more
Jun 16 2008
Foreside welcomes the Allstate Financial Investment Trust as a new client of our firm. more
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