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.
Read MoreCommon 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.
Read MoreSEC ‘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.
Read MoreWhen 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.
Read MoreTrends 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.
Read MoreRIA 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.
Read MoreForeside Launches New Technology Solutions for Registered Investment Advisors, Broker Dealers, and Asset Managers
October 7, 2020
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.
Read More‘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.
Read MoreState 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.
Read MoreFeatured in WealthManagement.com’s 2020 Mid-Year Outlook
September 2, 2020
Foreside is featured in wealthmanagement.com’s 2020 Mid-year Outlook.
Read MoreForeside 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.
Read MoreCovid-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.
Read MoreSEC 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.
Read MoreCall 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.
Read MoreSEC 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.
Read MoreHow 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.
Read MoreETFLogic 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.
Read MoreFirms 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.
Read MoreAmeriprise’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.
Read MoreForeside 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.
Read MoreForeside 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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