Calls/Webinars

In this webinar, Foreside and K&L Gates dove into the 2022 examination priorities, with a particular focus on the impact on compliance programs of investment advisors and investment companies

With double-digit growth rates over the last several years, it’s not surprising that Foreside is having more conversations with managers about closed-end, continuously-offered interval, and tender-offer funds.

During our recent webinar, Kayte Toczylowski of FINRA joined Foreside to discuss a series of relevant industry topics, ranging from FINRA Innovations and Regulation Best Interest to Digital Assets.  

During our recent webinar, Foreside and Vedder Price, along with our guest speakers from WisdomTree and American Century, engaged in an insightful discussion around the ETF marketplace and where this wrapper may be headed in the future.

During this webinar our panelists from Foreside and Richard L Chen Law Firm discussed year-end compliance priorities for Investment Advisors

During this webinar, our panelists from Foreside and The Wagner Law Group discussed the DOL's Fiduciary Rule.

During this webinar our panelists discussed 2021 year-end compliance priorities for Broker Dealers

This webinar is an overview of FINRA’s Consolidated Audit Trail (CAT) and the CAT Customer and Account Information System (CATCAIS).

This session will discuss common issues and deficiencies that fund advisors experience during SEC exams and provide practical tips to avoid them.

During the 2021 ICI General Membership Meeting and Operations and Technology Conference, Foreside and our industry panelists walked attendees through the essential framework needed to help firms decide whether converting their Mutual Fund to an ETF is right for them. 

During Part 2 of our recent webinar on the new SEC Marketing Rule, Foreside & Stradley Ronon discussed the new SEC Marketing Rule.

During our recent webinar, Foreside & Faegre Drinker Biddle & Reath LLP discussed regulatory framework, and operational and distribution considerations associated with interval and tender offer funds.

During our recent webinar, Foreside & K&L Gates discussed the 2021 examination priorities with particular focus on the impact of compliance programs of investment advisors and investment companies.

During our recent webinar, Foreside discussed last year's findings as well as this year's focus areas, emerging challenges, and trends for 2021. 

During our recent webinar, Foreside & U.S. Bank shared practical information on how hedge fund, private equity, and other private fund managers can best capitalize on today's retail marketplace.

During our recent webinar, Foreside & Stradley Ronon discussed the new SEC Marketing Rule.

During our recent webinar, Foreside discussed year-end compliance priorities for Investment Advisors

Foreside and Dechert hosted Session 3 of a three-part series on expanding your product line up with ETFs.  This third session focused on ETF distribution strategies.

Foreside and Dechert hosted Session 2 of a three-part series on expanding your product line up with ETFs.  This second session focused on Semi-Transparent ETFs, one year after they were approved.

Foreside and special guest McCarter & English discussed the latest SEC Risk Alerts, which address compliance deficiencies found during examinations. These alerts help to educate advisors and warn CCOs about problem areas that examiners will focus on during future examinations.

Intermediaries rely on the DTCC's Mutual Fund Profile II service to establish CUSIPs for trading on their back office systems.

Foreside and Dechert hosted session 1 of a three-part series on expanding your product line up with ETFs. This first session focused on how to build an ETF and who the necessary service providers are and explored: Brief history and overview, Components of launching an ETF, Focus on service providers, and Regulatory considerations

Foreside's Mark Fairbanks, Senior Managing Director; and Ralph Siciliano, Partner, Tannenbaum Helpern Syracuse & Hirschtritt discussed how to solicit private fund investors and the differences between the broker-dealer rules and the issuer exemption. During this webinar, not only did they provide an overview of the issuer exemption, but they also outlined activities that typically trigger the need to associate with a broker-dealer and reviewed the potential ramifications for firms that fail to follow the rules governing the solicitation of investors.

Foreside's Craig Moreshead, Sarah Alderman, and Kerry Rider, all of our IA Consulting team, recently joined together for a webcast discussing disclosure strategies around COVID-19, business continuity, cyber security, remote supervision and Form CRS tips.

Foreside’s Les Abromovitz, Larry Stadulis, and Sara Crovitz from Stradley Ronon and Mary Beth Constantino from Fidelity recently joined together for a webcast discussing the SEC's recent proposed amendments to the Investment Advisers Act of 1940 Advertising Rule.

As a leading provider of distribution and compliance services to the global investment management industry, Foreside has helped numerous clients access the U.S. market and understand the opportunities available.

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.

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.

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 ...

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 ...

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 ...

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 ...

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 ...

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.

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 ...

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.