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Broker-Dealer Consulting

Designed by compliance professionals and tailored to fulfill the ongoing compliance obligations of broker-dealers, our compliance programs for broker-dealers provide a dedicated consultant, supported by a team of compliance professionals, to deliver proactive, comprehensive and customized support services to your firm.  Foreside’s Partner Program for broker-dealers provides various levels of continuous support for your firm’s compliance needs and allows you flexibility to move between programs at any time.

  • Partner PRO – Core Compliance Consulting Program
  • Partner PLUS – Proactive + Strategic Customized Compliance Programs
  • Partner ELITE – Comprehensive Compliance Assessment + Fully Customized Package

These customized, comprehensive and cost-effective services to broker-dealer CCOs, FINOPs and their teams include:

  • Formation of a proprietary U.S. registered broker-dealer
  • Broker-Dealer registration including managing the FINRA new membership application process and associated filings, infrastructure development, and regulatory requirements
  • Written supervisory procedures development and management
  • Program development (business continuity plan, cybersecurity, AML) or review with recommended updates
  • State registrations
  • Facilitation of contractual relationships for required broker-dealer systems including email retention vendor, off-site storage, etc.
  • Gap analysis and risk assessment
  • Examination support + development of examination response program and team
  • Regulatory filings
  • FINOP support
  • Design of financial controls and processes/maintenance of books and records
  • Review of quarterly FOCUS filings
  • For clients who meet the right profile, Foreside offers Outsourced CCO services. Foreside considers each of these opportunities individually to ensure a good fit for both the firm and Foreside, considering a firm’s business lines and culture.

why foreside makes sense

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partnership for growth

We provide our clients the most innovative offerings that help drive their business forward. 

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Consultative + Comprehensive

We see regulation as a catalyst for innovation. 

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transformative tech

We apply best-in-class technology to address today’s regulatory reality and drive operational efficiency.