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Compliance Connections: Broker-Dealers – Preparing for Audit Season

The year-end financial closing process and audit preparation "season" is coming sooner than you think. Understanding what your auditors will focus on is essential for you to play your part in making this regulatory requirement as pain free as possible. Remove the year-end angst by gaining a thorough understanding of how to properly prepare so you have a controlled process to ensure you meet that looming deadline.

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Compliance Connections- Form CRS

Foreside hosted Kelli Haugh, Shawn Wilson and Kerry Rider of Foreside on a dynamic conversation around Form CRS requirements including practical tips and best practices for preparing the summary, which goes into effect next year.

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Reality Behind Buzzwords Series: Blockchain

Gabriel Edelman, Managing Director, Foreside and Ben Keeler, Managing Director, Citisoft partnered with NICSA on their Reality Behind Buzzwords Series, a spotlight on Blockchain. This panel provided a brief review of the blockchain landscape and an overview of various digital asset financial products with a focus ...

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Learn More About Foreside AdCompliance®

Foreside AdCompliance®  is Foreside’s proprietary internet based portal to coordinate marketing material review with SEC and FINRA. Foreside AdCompliance®, was designed with the user in mind – whether that be the Marketing Department, Compliance Department or Management ...

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Compliance Connections: Potential Pitfalls Impacting Registered Investment Advisor Marketing Efforts

Foreside hosted Meredith Henning, Managing Director of Foreside’s Advertising Compliance area and Les Abromovitz, Senior Director and Foreside’s in-house expert on IA Marketing Materials on a dynamic discussion around how the SEC ...

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Foreside Connections: Key Issues Surrounding Cryptocurrency Today

Foreside hosted Joel Telpner, Partner at Sullivan & Worcester for a discussion on key issues surrounding cryptocurrencies today. Joel along with Foreside’s in-house specialist, Gabriel Edelman dove deep into investments in cryptocurrencies including custody, volatility ...

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Compliance Connections: Impact of Regulation BI and Form CRS on Broker-Dealers and Investment Advisors

Foreside hosted Lori Weston, Craig Moreshead, Kelli Haugh and Stephen Murphy of Foreside on a dynamic conversation around the key requirements, deadlines, definitions, and major considerations for Broker-Dealers and Investment Advisers seeking to comply with Regulation Best Interest, the new Form CRS ...

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Foreside Connections: Looking to Launch a Non-Transparent ETF?

Stuart Thomas, Founding Principal of Precidian Investments and Joe Higgins, Senior Director of Foreside’s Client Development area provided a dynamic discussion around this innovative structure and what Managers should know as they consider launching non-transparent ETF.

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Foreside Connections: ETF Roundtable: Developing and Launching Your ETF

Foreside hosted Steve Feinour, Partner at Stradley Ronon Sevens & Young, LLP, Ryan Sullivan, Vice President of Global ETF Services at Brown Brothers Harriman, Scott Szever, Director of Exchange-Traded Products at the NYSE, and Christopher Lanza, Senior Managing Director at Foreside for a dynamic discussion on what firms need to think ...

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Foreside Connections: Actionable Items For Marketing Success!

Foreside hosted Sunstar Strategic and Sondhelm Partners, two innovative marketing and Public Relations firms in the financial industry, who provided best practices when it comes to your brand, social media, and content creation of your marketing collateral.

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