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Foreside in the News

Importance of Gender Diversity, Equity, and Inclusion in Compliance

May 3, 2021

  Foreside’s Kelli A. Haugh, Managing Director, recently authored a piece focusing on the importance of gender diversity, equity, and… Read More

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Best Practices in Compliance Training

April 21, 2021

  Compliance impacts almost every facet of an organization. For an organization’s compliance program to be effective, the firm must… Read More

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ESG Risk Alert Raises the CCO Bar

April 16, 2021

Compliance teams must be up to speed on what makes a fund or its holdings ESG-friendly, lawyers and compliance professionals… Read More

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Foreside Launches Turnkey Marketing Service for RIAs

April 14, 2021

RIA Intel recently shared an exclusive interview covering the launch of RevBuilder360, an innovative marketing program designed to help RIAs… Read More

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SEC Examiners Warn Advisors of ESG Missteps

April 13, 2021

Investment advisors and firms that use ESG strategies should make sure their investment process is disclosed and consistent. Their marketing materials should reflect what… Read More

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Foreside Launches Marketing Hub Aimed to Help RIAs Grow Their Business

April 12, 2021

    Comprehensive turnkey platform helps RIAs acquire new clients, gather assets and improve client satisfaction PORTLAND, Maine – April… Read More

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Prepare for SEC Scrutiny of Valuation Practices

April 7, 2021

Foreside’s Tracy Dotolo and Jack Huntington, members of the Fund Officer Solutions team, broke down to BoardIQ why fund boards… Read More

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In Form U4, what goes under employment history vs. other business?

April 7, 2021

Financial Planning’s readers ask when should something be listed on their U4 under Section 12 (Employment History) and when it… Read More

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On the Record: Compliance is at the forefront for Foreside Financial President David Whitaker

April 6, 2021

Foreside President David Whitaker recently caught up with Mainebiz for a one-on-one discussion sharing more about our customized compliance and… Read More

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Foreside named a finalist for Compliance & Innovative Client Solution for the Eighth Annual Family Wealth Report Awards

March 15, 2021

  Portland, Maine, March 15, 2021 — Foreside Financial Group, a leading provider of compliance and distribution solutions, is pleased… Read More

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SEC to Prioritize Reg BI Compliance, Order Routing in 2021 B-D Exams

March 9, 2021

The Securities and Exchange Commission will “expand the scope” of its Regulation Best Interest-related reviews to assess whether broker-dealers have… Read More

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Biden influence apparent in SEC 2021 examination priorities

March 9, 2021

The long-awaited 2021 examination priorities of the Securities and Exchange Commission (SEC) were released March 3rd, providing investment firms and… Read More

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An Industry First: Two Mutual Funds Will Become ETFs This March

March 9, 2021

An industry first is looming. Mutual fund issuer and Foreside client, Guinness Atkinson is slated to convert two of its… Read More

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SEC to Place More Focus on Climate Risks in 2021 Exam Priorities

March 9, 2021

According to a new report highlighting 2021 priorities for the Division of Examinations (DOE), this year’s SEC exams will place… Read More

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Foreside Acquires JG Advisory Services

March 9, 2021

PORTLAND, Maine – March 9, 2021 – Foreside Financial Group, LLC (Foreside), a provider of governance, risk management, and compliance… Read More

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All or Nothing: Advisors Cautioned on Advertising Rule Limbo

March 8, 2021

  The advisory industry finds itself in a protracted regulatory limbo about the still-unpublished Securities and Exchange Commission advertising rule,… Read More

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SEC Publishes Crypto Exam Playbook

March 8, 2021

  Advisors holding digital assets must have strict policies in place to safekeep the assets from unauthorized transactions and other… Read More

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Spotlight on Gamification of Trading, Social Media Investment Advice

March 8, 2021

  With attention trained on the impact of game-like and social media-driven trading, regulators are expected to tamp down on… Read More

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Foreside Surpasses $160 Billion Mark for ETFs Distributed

March 3, 2021

Foreside Surpasses $160 Billion Mark for ETFs Distributed Already the largest third-party ETF distributor by number of issuers, new milestone… Read More

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Putnam to Enter ETF Market With 4 Active Strategies

February 22, 2021

  Putnam Investments has made its first move into the ETF market, and it is wasting no time zooming toward… Read More

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Pandemic Prompts Brokerages to Seek Relaxed In-person Inspection Requirements

February 22, 2021

This week, InvestmentNews published a story focusing on the member firms and trade associations representing them told FINRA their pandemic… Read More

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FINRA Keeps Outside Business Activities in the Crosshairs for 2021

February 19, 2021

FINRA’s scrutiny of brokers’ outside business activities is a recurring area of focus and presents potential pitfalls that member firms… Read More

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Foreside named a finalist in two categories for the 2021 HFM European Services Awards

February 17, 2021

Portland, Maine, February 16, 2021 — Foreside Financial Group, a leading provider of compliance and distribution solutions, is pleased to… Read More

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Foreside launches Connect+ client portal

February 11, 2021

  PORTLAND, Maine – February 11, 2021 – Foreside Financial Group, LLC (“Foreside”), a provider of governance, risk management, and… Read More

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FINRA to ramp up Reg BI exams in 2021

February 9, 2021

When FINRA examiners check-in with brokers this year, they’re going to be expecting to see real progress in firms’ compliance… Read More

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Compliance Lessons Gleaned from GameStop Market Insanity

February 2, 2021

Since last week, Wall Street has been watching a real-time battle unfold between retail investors and hedge funds over formerly… Read More

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FINRA scrutinizes firms that accepted PPP loans for possible rule violations

January 26, 2021

FINRA is examining brokers who received a loan through the Paycheck Protection Program, a federal government program intended to provide… Read More

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Foreside Acquires Capital Markets Compliance

January 25, 2021

PORTLAND, Maine – January 26, 2020 – Foreside Financial Group, LLC (“Foreside”), a provider of governance, risk management, and compliance… Read More

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Foreside unveils solution for breakaway RIAs

January 21, 2021

Foreside unveils solution for breakaway RIAs Comprehensive platform helps mitigate liabilities and risk for successful transition PORTLAND, Maine — January… Read More

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New Ad Rule Ambiguity Could Hinder Use by Advisors

January 11, 2021

The industry had waited decades for an update to the SEC’s advertising rules, but now that it’s here, a lack… Read More

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401(k) Plans Prefer Funds with Rev Share: Researchers

January 7, 2021

Revenue sharing collected by retirement plan recordkeepers results in higher overall expenses for participants and influences plan menu design, according… Read More

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Why and How Advisors Should Prepare to Talk Crypto with Clients

January 5, 2021

  With clients increasingly asking questions about cryptocurrencies, advisors cannot ignore the topic and must prepare themselves to respond to… Read More

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Foreside + MyComplianceOffice Webinar: Looking Back to Move Forward: Practical Guidance for Strong Compliance

January 4, 2021

MCO and Myles Blechner, Senior Director at Foreside, shared a look back at 2020 and practical guidance on managing compliance in 2021,… Read More

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Hedge Funds Face Heightened Scrutiny on SEC Exams in 2021

December 23, 2020

Hedge funds should be prepared to face greater compliance scrutiny with thorough exams in 2021 as a new presidential administration… Read More

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State fiduciary rules slow down amid pandemic, political transition

December 23, 2020

The pandemic delayed action in several states to finalize fiduciary rules. Efforts to implement fiduciary rules in New Jersey, Nevada,… Read More

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Mutual fund conversions to ETFs pose challenge

December 23, 2020

    Compliance and operations teams in fund houses that are planning to convert mutual funds to ETFs have lots… Read More

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NICSA NOVA Awards – Emerging Leaders Award Winner: Shrey Malla

December 22, 2020

    Foreside is excited to announce that Shrey Malla, Senior Director, Corporate Development, has been named a winner of… Read More

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New SEC Rule May Turn Shops into Data Collectors

December 22, 2020

    New regulation may expand who can aggregate and sell national market data. Potentially making it easier for other… Read More

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Buyout Firms Bet Smaller is Better with Covid Trimming Deals

December 21, 2020

    With blockbuster buyout activity hit by the pandemic early in the year, the industry has turned to smaller… Read More

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Potential Pitfalls for Mutual Fund to ETF Conversions

December 21, 2020

    Three fund shops have disclosed plans to convert mutual funds to ETFs, and more are likely coming down… Read More

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Infographic: Quarter of Fund Groups Appoint Outsourced CCOs

December 15, 2020

    Boards have come to rely heavily on Chief Compliance Officers (CCOs) in the past since regulators required, they… Read More

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Foreside shortlisted for Best Compliance Advisory Firm by Fund Intelligence’s 2021 Operations and Services

December 9, 2020

    Portland, Maine, December 9, 2020 — Foreside Financial Group, a leading provider of compliance and distribution solutions, is… Read More

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Foreside Shortlisted for Best Technology Platform for Family Offices for the 2021 Private Asset Management (PAM) Awards

December 8, 2020

Portland, Maine, December 7, 2020 — Foreside Financial Group, a leading provider of compliance and distribution solutions, is pleased to… Read More

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A Subscriber’s Request: Compliance Training Software

December 2, 2020

Regulatory Compliance Watch queried Chief Compliance Officers (CCOs) about the type of compliance training software they use. The survey indicated… Read More

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Am I Required to Document Videoconferences with Clients?

December 2, 2020

Financial Planning’s readers wonder if there is a requirement to save recordings of video conferences with clients now that so… Read More

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Why the “Menu” for Investors Is Growing

November 25, 2020

Foreside was recently interviewed on the ETF Show sponsored by the NYSE.  Jennifer Hoopes, Senior Managing Director and General Counsel… Read More

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How Much Information do Reps Need to Get for New Accounts?

November 18, 2020

Foreside’s Alan Foxman, Managing Director, shares his insight with Financial Planning’s readers on how much information reps need to get… Read More

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SEC cites ‘vast majority’ of multi-branch RIAs for compliance defects

November 18, 2020

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on November 9, 2020, which discussed supervisory… Read More

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Foreside Acquires ICSGroup

October 29, 2020

In its fourth acquisition since 2019, Foreside bolsters its customized, tech-enabled governance, risk management, and compliance offering, especially with hedge… Read More

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Foreside’s Hoopes looks back over ‘interesting year’

October 23, 2020

ETF assets are on a roll and currently predicted to grow to USD50 trillion by 2030, driven by their improved regulatory status in the US, with the arrival of the ETF rule, and the rise of active funds, including the semi and non-transparent version. July saw the launches of actively managed ETFs exceed passive ETFs for the first time.

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Common Pitfalls in Advisory Billing Practices – A Focus on Fees and Expenses

October 22, 2020

To no one’s surprise, the topics of advisory fees, billing practices, and valuation continue to be at the forefront of Securities and Exchange Commission (“SEC”) exams this year.

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SEC ‘pay-to-play’ enforcement surge projected in 2021

October 21, 2020

It’s been a busy year in American politics, with a presidential race as memorable—for better or worse—as any in recent history. All that attention, all those choices, and all the emotion will translate into more political donations being made in the run-up to the Nov. 3 election.

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When Financial Technology Partners with Compliance

October 8, 2020

This summer, GeoWealth, financial technology and turnkey asset management platform (TAMP), announced a strategic alliance with Foreside Financial Group.

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Trends in Fund Companies’ AML Programs and SAR Filings

October 8, 2020

Anti-money laundering compliance officers (AMLCOs) often observe situations where their clients or partners may struggle with deciding whether to report suspicious activity in accounts where no suspect can be identified.

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RIA Leaders 2020: High touch, high tech

October 8, 2020

Foreside’s Mark Alcaide, Senior Managing Director, Consulting, shared his predictions on how higher levels of service will be the expectation as a lasting effect of the pandemic.

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Foreside Launches New Technology Solutions for Registered Investment Advisors, Broker Dealers, and Asset Managers

October 7, 2020

Products address Code of Ethics and personal account monitoring, best execution, education and training, advertising reviews, and cybersecurity PORTLAND, Maine… Read More

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Brokerages Push To Extend Delay Of On-Site Inspections

September 14, 2020

Foreside’s Jennifer DiValerio, Managing Director, Broker-Dealer Compliance, provided commentary around firms’ need to assess their risk and modify their oversight procedures as needed to bridge the gap until they can return to onsite supervision.

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‘Foreside 3(c)-1 Letter’ Offers Expanded Guidance from FINRA on Use of Related Performance for 3(c)-1 Private Equity Funds

September 14, 2020

Foreside is proud to have partnered with our clients to introduce the Foreside 3(c)-1 Letter, an interpretive guide offering a new level of transparency for institutional investors.

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State Street Fined Over Order Flow Disclosures

September 8, 2020

Foreside’s Stephen Murphy, Managing Director, Broker-Dealer Consulting,  provided commentary around FINRA, and the increased data available to regulators. 

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Featured in WealthManagement.com’s 2020 Mid-Year Outlook

September 2, 2020

Foreside is featured in wealthmanagement.com’s 2020 Mid-year Outlook.

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Foreside Shortlisted for Best Advisory Firm (Regulation and Compliance) for the HFM US Services Awards 2020

August 12, 2020

Foreside Financial Group, a leading provider of compliance and distribution solutions, is pleased to announce it has been shortlisted for “Best Advisory Firm (Regulation and Compliance)” for the HFM US Services Awards 2020.

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Covid-19: Six Considerations for Rethinking Distribution Models

August 5, 2020

While evolving regulations and changing investor behaviors have been significant over the past few years, nothing has been more powerful than the immediate disruption caused by Covid-19.

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SEC warns Form CRS falls short but doesn’t prescribe fixes

July 31, 2020

Earlier this week, the Securities and Exchange Commission warned investment advisers and brokers that they’re falling short on a new client disclosure that went into effect last month — but it didn’t say how to fix it.

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Call your compliance officer now, says Foreside director, as the ETF rule settles in place

July 30, 2020

Jim Nash, Director, Fund Officer Services, spoke at length with ETFExpress on the ETF Rule (6c-11), the compliance requirements, and what issuers need to know as the deadline approaches in December 2020.

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SEC Fires ‘Warning Shot’ on Retirement Plan Disclosures

July 29, 2020

Foreside’s Stephen Murphy, Managing Director, Broker-Dealer Consulting, provided his thoughts around the SEC continuing to hammer down on improper disclosures and when he thinks they will let up.

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BlueVoyant Partners with Foreside Financial Group to Deliver Tailored Cybersecurity Services

July 22, 2020

  [New York, NY – July 29th  2020] BlueVoyant, a global expert-driven cybersecurity services company, has announced a strategic partnership… Read More

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How the ‘Department of No’ Can Help Combat Racism

July 17, 2020

Legal and compliance teams play a critical role in promoting racial equity and fostering inclusion at the financial institutions where they work, consultants say.

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ETFLogic Webinar – Are You Ready For the ETF Rule?

July 7, 2020

Jim Nash, Foreside, Emil Tarazi, ETFLogic, and Jamie Gershokow, Stradley Ronon partnered with ETFLogic on their webinar discussing the new ETF rule. 

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Firms Take Microscope to Rev Sources in Reg BI Docs

July 1, 2020

Investors can now learn more about how their brokers and advisors make money — but the extent of their illumination may depend on the firms they choose for products and services.

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Mutual Fund to ETF Conversions

July 1, 2020

Foreside’s David Whitaker, President, was recently a  guest on The ETF Show via Asset TV.  David provided commentary on the… Read More

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Ameriprise’s Rev-Sharing Haul Ticks Up 3%

June 22, 2020

Foreside’s Stephen Murphy, Managing Director, Broker-Dealer Consulting, spoke with Ignites on Reg BI and conflicts of interest.

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Foreside Shortlisted for Best RegTech Solution for the HFM European Technology Awards 2020

June 17, 2020

Foreside Financial Group, a leading provider of compliance and distribution solutions, is pleased to announce it has been shortlisted for “Best RegTech Solution” for the HFM European Technology Awards 2020.

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Foreside Named a Finalist for Our Knowledge Center in the Compliance/Law Category for WealthManagement.com’s 2020 Industry Awards

June 16, 2020

Foreside Financial Group, a leading provider of compliance and distribution solutions, is pleased to announce it has been named a finalist in the Compliance/Law category for our Knowledge Center for the WealthManagement.com 2020 Industry Awards.

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GeoWealth and Foreside Financial Group Announce Strategic Alliance, Providing Advisors with the Infrastructure Needed to Launch an RIA Today

June 15, 2020

[Chicago — June 16, 2020] GeoWealth, a leading financial technology and turnkey asset management platform (TAMP), today announced a strategic… Read More

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Firms Scurry to Set Up Tech, Train Staff for Reg BI

June 15, 2020

  Firms are hurrying to review clearing firm documents, install operating systems and conduct staff training on Regulation Best Interest… Read More

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