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Broker-Dealer Chaperoning

Foreside offers broker-dealer chaperoning services to non-U.S. asset managers and broker-dealers that seek to market private funds in the United States without registering as a U.S. broker-dealer. Foreside will:

  • Provide an authorized registered representative to chaperone visits to U.S. Institutional Investors “USIIs” and Major U.S. Institutional Inventors “MUSIIs,” as required
  • Support personnel marketing funds to USIIs and MUSIIs
  • Oversee the suitability assessment process concerning fund recommendations made to USIIs and MUSIIs
  • Conduct due diligence on the funds to be marketed
  • Review and approve all marketing material prepared for USIIs and MUSIIs
  • Maintain all books and records required under SEC Rule 15a-6

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