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Legal Underwriting + Placement Agent Services

Foreside distributes over $1 trillion of product for over 200 fund families through our broker-dealers. Foreside serves as the legal underwriter for registered funds (mutual funds, closed-end funds, and ETFs) and placement agent for private funds. Foreside provides our clients with an established broker-dealer framework and ongoing education to meet the changing SEC and FINRA regulatory landscape. Services include:

  • Reviewing, approving, and FINRA filing of fund marketing materials via our proprietary software, Foreside AdCompliance®, to facilitate compliance with SEC and FINRA regulations
  • Negotiating and maintaining broker-dealer and selling agreements to facilitate sales of fund shares
  • Administering Rule 12b-1 fees and any load payments
  • Sponsoring and maintaining an NSCC membership participant number for domestic funds, collective trusts or foreign registered funds allowing for a cost-effective and time-saving alternative to the direct NSCC membership process
  • For private placements, entering into sub-placement agent agreements with selling broker-dealers to facilitate the sales of fund shares
  • Foreside has established a partnership with NQR to offer Intermediary (IM) Insight which is a platform that enhances your oversight program through an economical and effective audit report review process.  Gain access to online reporting via meaningful, point-by-point intermediary comparisons that highlight exceptions and gaps.  Download our factsheet here.
  • Foreside has also established a partnership with MARS SalesFocus Solutions (“MARS”) which provides sales and marketing teams with new insights to target opportunities most likely to result in growing AUM.   MARS is the industry-leading data aggregation, data distribution, and data visualization platform for enhancing sales at asset management firms.  An “all in one” solution for data collection, business intelligence, distribution and analytics reporting, and relationship management. MARS transforms sales and asset data from the Retail and Institutional sales channels into actionable business insights to identify new sales opportunities, create product-targeted marketing leads, and facilitate asset growth.  Listen to our spotlight on this service here.

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.