European Union General Data Protection Regulation Update

 In news

European Union General Data Protection Regulation Update

As you are likely aware, the EU General Data Protection Regulation (“GDPR”) will become effective May 25, 2018. This regulation will enhance the EU’s current data privacy regulations. One key piece of GDPR is that, unlike its predecessor regulations, it applies to certain organizations outside of the EU. Foreside has analyzed the GDPR and its applicability to our business, and we are in the process of finalizing appropriate supplemental controls. We will disseminate any applicable changes to affected clients.

If you have further questions on GDPR, please contact your Relationship Manager.

  • All
  • news
  • Press Releases

Foreside Acquires Compliance Advisory Services to Expand Compliance and Regulatory Services Offerings

Foreside Acquires Compliance Advisory Services to Expand Compliance and Regulatory Services Offerings….

Foreside named Best Compliance Advisory Firm at the 2019 Fund Intelligence Operations and Services Awards

Foreside Financial Group, a  leading provider of compliance and distribution solutions, is pleased to announce they have been named “Best Compliance Advisory Firm”….

Asset Managers Slow to Use Tech to Simplify Database Reporting

Foreside President, Dave Whitaker’s insights on the importance of enacting due diligence on RFP systems in FundFire….

Responding to the SEC’s Sharpened Focus on Conflicted Compensation

In this Compliance Corner section, Mr. Moreshead offered insight into responding to the SEC’s sharpened focus on conflicted compensation….

How Reg BI Changes the Fiduciary Landscape for the 401k Plan Sponsor

Foreside’s Mark Alcaide provided commentary on how Reg BI changes the fiduciary landscape for the 401k plan sponsor….

Reality Behind Buzzwords Series: Blockchain

This panel provided a brief review of the blockchain landscape and an overview of various digital asset financial products….

NICSA NOVA Awards- Emerging Leader Award Winner: Courtney Farrell

Foreside is excited to announce that Courtney Farrell, Director of our Dealer Services department has been named a winner of NICSA’s prestigious Emerging Leader Awards….


Foreside is proud to announce that it has been named a finalist for two industry awards in connection with its compliance services and proprietary technology ….

Compliance Connections: Impact of Regulation BI and Form CRS on Broker-Dealers and Investment Advisers

Dynamic conversation around the key requirements, deadlines, definitions, and major considerations for Broker-Dealers and Investment Advisers ….

Updating Interpretive Guidance for a Rapidly Evolving Mutual Fund Marketplace

The landscape of institutional investing, particularly when it comes to mutual funds, is highly competitive and…

Foreside AdCompliance Named as a Finalist for the 2019 Awards!

Regulation D can be a benefit or a curse depending on…

Foreside Connections:  Looking to Launch a Non-Transparent ETF?

Dynamic discussion around this innovative structure and what Managers should know…

Compliance Connections: Potential Pitfalls Impacting Registered Investment Advisor Marketing Efforts

Discussion around how the SEC Advertising Rule…

SEC Won’t Tolerate RIA’s Indifference to Compliance

A recent enforcement action demonstrates that the SEC…

Reg. D: To “BD” or not to “BD”

Regulation D can be a benefit or a curse depending on…

Unlocking Value with Outsourced Compliance

David Whitaker, President of Foreside Financial Group, discusses the value firms can unlock and the technology that can be leveraged when outsourcing business and compliance solutions.

‘Foreside Letter’ offers industry-leading FINRA guidance expansion for mutual funds

Mutual funds continue to face headwinds that require…

IAA Newsletter – Tips for Filing Form ADV: Annual Updating Amendments

It’s that time of year again when most Registered Investment Advisers are preparing their Annual Updating Amendments to Form ADV. Please click below to read the article that was featured in the February 2019 issue of the IAA Newsletter.

Foreside acquires NCS Regulatory Compliance

Acquisition expands Foreside’s technology capabilities and regulatory and compliance solutions


Foreside hosted Joel Telpner, Partner at Sullivan & Worcester for a discussion on key issues surrounding cryptocurrencies today…

Interval Funds Basics

Foreside has seen an uptick in the number of interval funds hitting the market. The five areas below outline the basics of these non-traditional closed-end mutual funds. Limited Redemption Opportunities – Interval funds typically price daily at net asset value (NAV), however, redemptions are limited. Rather than trade in the secondary market, they periodically offer […]

What You Need to Know on Board Reporting

Every mutual fund, whether it is a proprietary Registered Investment Company (“RIC”) or part of a Series Trust product with multiple advisors…

Marketing to Multi-Family and Single Family Offices

Are you marketing to the Multi-Family Office (“MFO”) or Single Family Office (“SFO”) space? Below are some considerations to keep in mind as you focus your distribution strategy on this target market. Relationships: Most family offices take a holistic approach to investment opportunities, with a focus on the personal rapport with the manager and other […]

Intermediary Transaction Fee Platform vs. No Transaction Fee Platform

Unless you have recently onboarded mutual funds to a major intermediary platform, the acronyms “TF” and “NTF” may not mean much. With the industry’s focus on fee compression, these terms reflect an important aspect of how shareholders access mutual funds. Once approved for a trading platform, one question a Fund Sponsor will likely be asked […]




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…

Do You Have a Solid Conference Strategy?

Do you have a firm conference strategy? Are you attending conferences with purpose? In today’s world, you can find a specialized event on almost any topic. There are numerous conferences falling within the financial services umbrella, which is why it is essential to develop a firm strategy around how to best spend your time at these […]

Actionable Ideas for Marketing Success

During Foreside’s May 22, 2018 webinar “Actionable Ideas for Marketing Success“, a panel of experts sat down to provide best practices when it comes to our clients brand, social media, and content creation.These ideas included what asset managers can do to make a difference in the immediate future, tips for content development, and how firms […]

Are You a Continuing Education (“CE”) sponsor?

There are close to 80,000 CFP professionals nationwide who are required by the CFP Board’s CE policy to complete 30 CE credit hours each reporting period. These 30 credit hours are broken down by 28 credit hours of General CE and two credit hours of Board-approved Ethics CE. A majority of the 80,000 CFP professionals complete 94% of their […]

How to Successfully Cover a Broker-Dealer

Do you have a strategy when covering broker-dealers? We believe getting to know the mindset of the intermediary is critical for asset managers to ensure your firm is approaching and covering them correctly. With hundreds of broker-dealers in the industry, we recommend breaking the broker-dealers into four quadrants which will help you successfully understand and […]

Q2 Foreside Connections: Actionable Items For Marketing Success!

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. Marilyn Dale, VP, Creative & Digital Services at Sunstar Strategic and Dan Sondhelm, CEO at Sondhelm Partners provided […]

2018 Exam Priorities

SEC released their 2018 examination priorities which they have organized around five themes. Although they believe the below areas are critical, this list is not comprehensive. The Office of Compliance Inspections and Examinations (“OCIE”) remains flexible in order to cover emerging and exigent risks to investors and the marketplace as they arise. All examinations will […]

The Fiduciary Duty of Investment Advisers – Understanding its Murky Roots and a Guidepost

The term “fiduciary” has received great attention in investment-services compliance recently. It should not be unexpected. There is discord surrounding the fiduciary obligation: the notion is at the foundation of investment adviser regulation, but the term “fiduciary” does not appear in the Investment Advisers Act (“Act”) nor in its Rules. Understanding how the fiduciary duty […]

Did You Know Foreside Offers More Than One Broker-Dealer Service Option?

Foreside provides broker-dealer services to more than 275 asset managers chaperoning, legal underwriting, registered representative licensing services, NSCC, marketing material review and various other compliance functions…

Are You Connecting with Your Local FPA Chapter?

Do you know how to connect with planning professionals nationally or in your local area? Are you working with your local FPA Chapter?

Fifth Circuit Vacates DOL Fiduciary Rule

In a 2-1 decision, the US Court of Appeals for the Fifth Circuit struck down the US Department of Labor’s (“DOL”) fiduciary rule, deciding in favor of a number of leading financial services industry trade associations. The court found that the DOL unlawfully expanded the definition of the term “fiduciary” to be overly broad and […]

Foreside Partners with NICSA: Penetrating the RIA/Family Office Space

Foreside was excited to partner with NICSA to host Matthew Babcock, Assistant Vice President at Pacific Life, Aaron Gilman, Chief Investment Officer at Independent Financial Partners and Wayne Yi, Head of Manager Research at Massey Quick Simon for an informative discussion on working with key investment research teams. The panelist spent their time discussing best […]

Q1 Foreside Connections: A Closer Look with UBS: ETP Platform Overview

Foreside hosted both Gregory Trinks, Executive Director of Exchange-Traded Products and Derivatives at UBS Financial and Chris Mitchell, Associate Director of Business Development at NextShares Solutions for our Q1 Foreside Connections call. Gregory provided insights into UBS’s ETP platform and their recent announcement to offer exchange-traded managed funds (“ETMF”) to their advisors. He provided insight […]

Q4 Foreside Connections: Embrace the Changing Investor

Foreside hosted Amanda Smith, Senior Vice President at Fidelity Investments for an informative discussion around changing investor needs and how you and your firm can engage this changing investor. Fidelity conducts proprietary studies on investors and the advisors that service them and she shared actionable insights into how to better serve this next generation and […]

Foreside attends the 2017 Advertising Regulation Conference

Foreside is pleased to announce we will be a sponsor of the 2017 Advertising Regulation Conference October 5-6, 2017 in Washington, DC. Please stop by our booth to learn more about Foreside’s proprietary marketing material review software, Foreside AdCompliance™ and how our firm can help you! We will be demoing the software which is a system that […]

Q3 Foreside Connections: Penetrating the RIA/Family Office Space

Foreside hosted Mark Yusko, Chief Executive Officer and Chief Investment Officer of Morgan Creek Capital Management, James McGrath, Partner and Director of Research at Forbes Family Trust, and Roger Scheffel, Principal and Portfolio Manager at Wilbanks, Smith & Thomas for an informative discussion on working with key investment research teams. They discussed best practices penetrating […]

Foreside Partners with Delta Data

Foreside in partnership with Delta Data is pleased to offer a robust, comprehensive solution designed to help asset managers gain added insight into their intermediary relationships and distribution fees.  Delta Data’s Oversight Solution Platform is a suite of oversight products that leverage distribution transparency data integrated with reporting, analytics, and counterparty management.  This platform allows […]

FINRA T+2 Rules Are Approved

In May 2017, Regulatory Notice 17-19, FINRA announced the SEC approval of a variety of its proposed rule amendments relating to the upcoming move of the U.S. securities markets to the T+2 settlement cycle. To coincide with the effective date of the revisions to SEC Rule 15c6-1(a), these amendments will take effect on September 5, […]

Investment Company Reporting Modernization – Are you ready?

In October 2013 the Securities and Exchange Commission (“SEC”) voted to adopt changes to modernize and enhance the reporting and disclosure of information by registered investment companies and to enhance liquidity risk management by open-end mutual funds and Exchange Traded Funds (ETFs).The new rules will enhance the quality of information available to investors and will […]

FINRA’s Capital Acquisition Broker Rules Offer Reduced Regulatory Burdens

FINRA’s Capital Acquisition Broker (“CAB”) rules took effect on April 14, 2017.  CABs are defined as firms engaged in limited activities including advising companies and private equity funds on capital raising and corporate restructuring and acting as a placement agent for sales of unregistered securities to institutional investors under limited conditions.  As such, FINRA applies […]

Changes Coming to FINRA Qualification Exams

Big changes are coming to the Financial Industry Regulatory Authority (“FINRA”) qualification exams.  FINRA recently announced that it had filed a proposal to streamline exams and provide opportunities for individuals to demonstrate a fundamental knowledge of the industry before joining a firm by creating a Securities Industry Essentials Exam (“SIE”).  The SIE does not need to be […]

Q2 Foreside Connections: Merrill Lynch Platform Rationalization and Impact Call

Foreside hosted Mary Beth Swisher of the Merrill Lynch Managed Solutions Group for our Q2 Foreside Connections conference call. As Vice President of the Managed Solutions Group/Global Funds, Ms. Swisher provided critical insight into Merrill’s rationalization process and their new research coverage model. To instantly listen to the replay, enter your information below.

Asset Manager “Chaperoning” under SEC Rule 15a-6

Recent enforcement actions and public statements reflect increased scrutiny by the SEC on whether private fund managers should register as broker-dealers.  Foreside provides “chaperoning” services to asset managers located outside the United States that want to market private funds to U.S. institutional investors under SEC Rule 15a-6 and avoid the need for broker-dealer registration with […]

Are you (still) wearing too many hats?

Fund sponsors who have bootstrapped their way from initial registration through to the profitable operation of a mutual fund or ETF will likely appreciate the pressures associated with juggling multiple roles and responsibilities within their organization. In the early days of growing a 1940 act fund business, one or two individuals might be forced to […]

DOL: Broker-Dealers and the “T” Share

The DOL fiduciary rule is accelerating and requiring broker-dealers to commit to the type of fee models their advisors can operate under, as well as require rationalization of the over 24,000 CUSIPs available today. With that, the industry has seen the introduc­tion of a new commission share class, better known as the transactional or “T” […]

Are you registered and did you know?

  Are you a Registered Representative, licensed with Foreside or another broker dealer? Did you know you can access your Form U4 directly from FINRA’s website? Visit and search for “snapshot” or visit to access your personal registration and licensing information including examination scores, continuing education data, and previous registration history. Are you […]

      +1 866-251-6920

Contact Us

Please send us an inquiry anytime and we'll get back to you, asap.

Not readable? Change text. captcha txt