With the coronavirus disrupting the normal operations of the broker-dealer industry, there is cause to wonder if firms could get a reprieve from the June 30 compliance deadline set for the SEC’s Regulations Best Interest. Find out what Steve Murphy, Managing Director of Foreside’s Broker-Dealer Consulting area had to say about a firms’ ability to implement Reg BI and meet the requirements of the rule.
Read MoreWorking from home amid a period of market volatility and coronavirus-induced uncertainty is adding to the client servicing challenges faced by financial advisors. FA-IQ reached out to advisors and consultants to share their strategies for providing an optimal client experience during these trying times.
Read MoreThe Covid-19 pandemic has thrown a wrench into some firms’ ability to comply with Regulation Best Interest in time for its June 30 compliance date, according to the Securities and Exchange Commission’s head examiner.
Read MoreHedge fund managers and allocators are settling into a new reality brought on by the novel coronavirus, COVID-19, including working from home and video conferences. But the moment also has raised due diligence questions around numerous business practices, including continuity plans, liquidity terms, fundraising plans, and keeping track of remote work should regulators come asking after the pandemic ends, experts say.
Read MoreForeside’s Craig Moreshead, Managing Director, Investment Advisor Consulting; recently provided commentary on OCIE inspections, specifically with the impact of the coronavirus.
Read MoreForeside’s Kelli Haugh, Managing Director, Investment Advisor Consulting, was a guest columnist in the February edition of the Investment Advisor Association’s newsletter. Kelli provided practical guidance on the implementation of Form CRS, including filing and delivery requirements, formatting and content, conflicts of interest, disclosure requirements, policies and procedures, and wrapped up with conversation starters. Download this informative piece now!
Read MoreSalesFocus Solutions, a Fintech leader servicing asset management firms has entered into a partner program with Foreside Financial Group (“Foreside”), a global provider of compliance technology solutions and product distribution services to the asset and wealth management industries. The platform includes data collection, sales analytics and distribution reporting across all of Foreside’s business lines including mutual funds, UCITs, ETFs, managed accounts, and alternative providers.
Read MoreForeside recently provided helpful information around working with ETF Authorized Participants. Chris Lanza, Senior Managing Director of Foreside, outlined how Authorized Participants (“APs”) fit into the overall ETF ecosystem and provided an overview of best practices when working with an AP, including important timeline information.
Read MoreForeside’s Les Abromovitz, Larry Stadulis, and Sara Crovitz from Stradley Ronon and Mary Beth Constantino from Fidelity recently joined together for a webcast discussing the SEC’s recent proposed amendments to the Investment Advisers Act of 1940 Advertising Rule.
Read MoreForeside’s David Whitaker, President, was recently a guest on Bob Huebscher’s Advisor Perspectives podcast. David and Bob spoke in detail about Form CRS and the significance this will have on RIA’s, Best execution evaluations, Cybersecurity, the proposed SEC changes to the advertising rule, and wrapped up with insight on conflicted compensation.
Read MoreForeside Financial Group, a leading provider of compliance and distribution solutions, is pleased to announce they have been named “Best Compliance Consulting Firm” for the 2020 Private Asset Management Awards. The awards ceremony took place on Thursday, February 6, 2020, in New York City.
Read MoreForeside Financial Group, a leading provider of compliance and distribution solutions, is pleased to announce they have been shortlisted for “Best Compliance Solution” for the Fund Intelligence Tech and WSL Awards 2020. The awards ceremony will take place on February 25, 2020, at the Metropolitan Club in New York City.
Read MoreForeside’s Alan Foxman, Managing Director, Consulting, provided commentary around opting out of FINRA’s 529 plan share class initiative in his monthly column for the publication.
Read MoreForeside 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.
Read MoreForeside 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.
Read MoreForeside’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.
Read MoreForeside’s Mark Alcaide, Senior Managing Director, Consulting was recently mentioned in Reuters.
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