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Foreside in the News

Foreside has been shortlisted for Best Compliance Consulting Firm for the 2020 Private Asset Management Awards

Foreside Financial Group, a leading provider of compliance and distribution solutions, is pleased to announce they have been shortlisted for “Best Compliance Consulting Firm” for the 2020 Private Asset Management Awards. The awards ceremony will take place on Thursday, February 6, 2020, in New York City.

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Foreside named Best ETF Distributor at the Inaugural 2019 ETF Express USA Awards

Foreside Financial Group, a leading provider of compliance and distribution solutions, is pleased to announce they have been named “Best ETF Distributor” at the 2019 ETF Express USA Awards. The award was announced on October 24th at a ceremony in New York City.

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Hedge Managers Face Stiffer Compliance Challenges in 2020

Foreside’s Susan Chamberlain, Managing Director, Consulting, provided her thoughts on two essential topics Hedge Managers need to keep top of mind in 2020. Susan thinks both the Advertising Rule and definition of Accredited Investors are key areas to watch for new regulatory policy heading into 2020.

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U.S. Treasury targets securities industry client tax reporting lapses; adds to fiduciary challenges

Foreside’s Mark Alcaide, Senior Managing Director, Consulting was recently mentioned in Reuters.

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FinOp: Fueling Growth in the Compliance Industry

Foreside’s Mark Alcaide, Senior Managing Director, Consulting and Phil Dawicki, Managing Director, FINOP Services recently sat down with CFO Tech… Read More

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Foreside Announces Agreement to Acquire Fund Distributor Quasar Distributors, LLC

PORTLAND, Maine – November 25, 2019 – Foreside Financial Group, LLC (“Foreside”), a provider of regulatory and compliance service and… Read More

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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… Read More

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

PORTLAND, Maine – October 14, 2019 – Foreside Financial Group, LLC (“Foreside”), a provider of regulatory and compliance service offerings… Read More

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Responding to the SEC’s Sharpened Focus on Conflicted Compensation

Foreside’s Craig Moreshead, Managing Director, Investment Advisor Consulting, recently contributed to the Investment Advisor Association’s Newsletter. In this Compliance Corner… Read More

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Asset Managers Slow to Use Tech to Simplify Database Reporting

What measures must asset managers take when evaluating automated RFP providers? Check out Foreside President, Dave Whitaker’s insights on the… Read More

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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. “Reg BI… Read More

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Firms Should Expand Despite Recession Fears: Q&A

FTF News recently got time with David Whitaker, president, and Jennifer Hoopes, general counsel, at Foreside, to discuss expansion and… Read More

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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… Read More

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FTF News recently sat down with Dave Whitaker and Jennifer Hoopes to discuss expansion and related issues amid global recession concerns, tighter margins, Brexit and other woes.

“Outsourcing non-core functions will afford firms the opportunity to continue to expand strategically, while managing tighter budget expectations.” Click HERE… Read More

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Updating Interpretive Guidance For Rapidly Evolving Mutual Fund Marketplace

By David Whitaker, Richard Kerr and Matthew Rogers The landscape of institutional investing, particularly when it comes to mutual funds,… Read More

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Foreside Recognized For Outstanding Achievement in Supporting Client Success & For Its Technology, Foreside AdCompliance®

Foreside is proud to announce that it has been named a finalist for two industry awards in connection with its… Read More

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Unlocking Value With Outsourced Compliance

Foreside President David Whitaker discusses the value of outsourcing at this year’s Inside ETFs conference. With increased pressures on compliance… Read More

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‘Foreside Letter’ Offers Industry-Leading FINRA Guidance Expansion For Mutual Funds

Mutual funds continue to face headwinds that require nimble reactions and flexibility – neither of which are easy feats given… Read More

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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…. Read More

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Foreside Acquires NCS Regulatory Compliance

Foreside Announces Acquisition of NCS Regulatory Compliance to Enhance Outsourcing Solutions to Financial Services Industry – Acquisition expands Foreside’s technology… Read More

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