Foreside in the News

  PORTLAND, Maine – October 13, 2021 – Foreside Financial Group, LLC (Foreside), a provider of governance, risk management, and… Read More

  SEC Commissioner Allison Herren Lee and FINRA CEO Robert Cook’s calls for streamlining the various regulatory databases highlight current… Read More

  Portland, Maine (October 6, 2021) – Foreside Financial Group, LLC (“Foreside”), a provider of governance, risk management, and compliance… Read More

  The Financial Industry Regulatory Authority’s (FINRA) exam letter released recently targets how firms use social media to bring in… Read More

  Foreside will deliver NQR’s Intermediary INSIGHT service to assist firms with their oversight of intermediary relationships Portland, ME –… Read More

Amid broader digital transformation trends, many service providers have re-imagined their value proposition to take advantage of new technologies. The… Read More

  Portland, Maine, September 16, 2021 — Foreside Financial Group, a leading compliance and distribution solutions provider serving the registered… Read More

  In the next few months, many private fund advisors are not expected to adopt the new SEC Marketing Rule,… Read More

From a recent edition of Financial Advisor IQ’s ETF Insider, the focus remains on the concept of mutual funds remodeling… Read More

Ignites recently highlighted that converting mutual funds may seem like the fast and easy way to get into the ETF… Read More

  Financial Advisor Magazine tells readers that registered investment advisors and broker-dealers have spent untold millions on technology to meet… Read More

Foreside’s Jaqueline Hummel, Managing Director, recently authored a piece featured in the July Edition of NSCP Currents.  This piece highlights… Read More

  August 10, 2021 Foreside Financial Group, a leading provider of compliance and distribution solutions, is pleased to announce they… Read More

  Foreside’s Craig Moreshead shares Form CRS fines will keep increasing and explains what steps the SEC is taking to… Read More

  The brokerage popular among novice traders, Robinhood may soon add retirement accounts onto its platform following its impending IPO…. Read More

  Foreside’s President, David Whitaker recently shared why our firm works diligently at helping the industry understand that outsourced compliance… Read More

  The potential action on one of the largest digital investment platforms sheds light on the increasing need for transparency… Read More

  A private equity firm has purchased a majority stake in Foreside Financial Group, the firm announced. Continuing the momentum… Read More

Most fund workers think Covid-19 vaccines should be a requirement for employees who plan to work from their offices, a… Read More

SAN FRANCISCO, July 7, 2021 – Genstar Capital (“Genstar”), a leading private equity firm focused on investments in targeted segments… Read More

The Securities and Exchange Commission has asked at least several asset managers to hand over information about how they were… Read More

Foreside Financial Group has acquired Hardin Compliance Consulting, the firm announced last week. According to an announcement, with the purchase… Read More

  Foreside Acquires Hardin Compliance Consulting  Foreside continues its move upmarket and strengthens its outsourced compliance and regulatory capabilities for alternative… Read More

    A culture of compliance does not merely give investment managers peace of mind; it facilitates growth with conviction…. Read More

    Many advisors have concluded there’s a better life on the RIA side of the regulatory spectrum. Nevertheless, most… Read More

  In its seventh acquisition since 2019, Foreside continues to expand its reach to hedge funds and private equity firms  PORTLAND, Maine – June 8, 2021– Foreside… Read More

  Even in the best of times, advisors who work with small business owners know that they often have a… Read More

  May 10, 2021 – Foreside Financial Group, LLC, a leading provider of governance, risk management, and compliance consulting and… Read More

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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