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Case Studies

Expanding to the U.S.

Entering the U.S. by way of partnership The Brief: A global investment management company regulated by the UK’s Financial Conduct… Read More

ETF Legal Underwriting

Established mutual fund provider sees benefits in outsourcing ETF operations The Brief: A well-established, $178B investment advisor who has been… Read More

Private-Label Broker-Dealer

Keeping brand recognition while outsourcing services The Brief: In 2018, Foreside began a partnership with one of the pioneers of… Read More

ETF Chief Compliance Officer

Limiting fixed expenses without sacrificing quality The Brief: A start-up ETF sponsor needed assistance with establishing a compliance program ahead… Read More

ETF Consulting

Proactive strategic consulting for institutional managers. The Brief: A large Global Asset Manager (GAM) with multiple product lines was interested… Read More

Gateway to the U.S.

Finding the right entry point to the U.S. for your Firm. The Brief: An international asset manager based in London… Read More

Fund Principal Financial Officer

Seeking to protect and benefit our clients. The Brief: A  fund manager with a global investment strategy had incurred millions… Read More

‘Foreside Letter’

At Foreside, we see regulation not as an obstacle, but as a catalyst for innovation. The Brief: Foreside recognized time… Read More

Investment Advisor Consulting

Foreside helps clients grow with regulatory confidence. The Brief: A Registered Investment Advisor and its CCO approached Foreside for compliance… Read More

Broker-Dealer Consulting

Interim CCO solution with sophisticated knowledge base (but without the added price tag). The Brief: A management team from a… Read More

Fund Chief Compliance Officer Support

Foreside can assume the Fund CCO role on an outsourced basis, support an internal Fund CCO, or fill the role… Read More

Registered Rep Services

Save money and lower your risk. The Brief: A large asset management firm in the U.S. wanted to have its… Read More

Foreside AdCompliance®

Repurposing one of foreside’s proprietary technologies for non-financial workflow management The Brief: One of Foreside’s clients, a global provider of… Read More

Broker-Dealer Lift Out

Foreside creates cost savings and manages the regulatory risk. The Brief: An SEC-registered fund manager maintained a limited purpose broker-dealer… Read More