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 MoreForeside 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 MoreForeside’s Stephen Murphy, Managing Director, Broker-Dealer Consulting, provided commentary around FINRA, and the increased data available to regulators.
Read MoreForeside is featured in wealthmanagement.com’s 2020 Mid-year Outlook.
Read MoreForeside 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 MoreWhile 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 MoreEarlier 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 MoreJim 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 MoreForeside’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 MoreLegal and compliance teams play a critical role in promoting racial equity and fostering inclusion at the financial institutions where they work, consultants say.
Read MoreJim Nash, Foreside, Emil Tarazi, ETFLogic, and Jamie Gershokow, Stradley Ronon partnered with ETFLogic on their webinar discussing the new ETF rule.
Read MoreInvestors 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 MoreForeside’s Stephen Murphy, Managing Director, Broker-Dealer Consulting, spoke with Ignites on Reg BI and conflicts of interest.
Read MoreForeside 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 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.
Read MoreBackBay Communications, an integrated financial-services public relations and content-marketing firm, today announced that it has been retained as agency of record by Foreside, a provider of technology-enabled regulatory and compliance consulting and fund distribution services to clients in the asset and wealth management, private equity, venture capital and hedge fund industries.
Read MoreForeside’s Mark Alcaide, Senior Managing Director, Consulting, provided commentary on how funds can better stand out from their peers by offering products that are distinct from their competitors.
Read MoreThe Securities and Exchange Commission is probing how well firms’ business continuity plans have functioned so far during the Covid-19 public health crisis, one consultant says. As part of these exams, the Office of Compliance Inspections and Examinations has been requesting documents concerning firms’ business continuity, policies or guidance they’ve issued since the outbreak, unforeseen issues that arose when the business activated its plans and how well the plan addressed disruptions to services provided by third-party vendors.
Read MoreForeside’s Lori Weston, Managing Director, Investment Advisor Consulting, was a featured guest speaker on TD Ameritrade’s advisor webcast last week. Find out why she urged advisors to update their existing plans concerning disaster preparedness, which is featured in Financial Planning.
Read MoreThe Securities and Exchange Commission on Tuesday published a road map for firms to follow as they prepare for the Regulation Best Interest rule package. The rule will become enforceable on June 30, and the agency’s exam unit is planning to conduct its first wave of exams on those compliance programs shortly after, the regulator said in a Tuesday risk alert for broker-dealers. Those exams will likely last for 12 months.
Read MoreInvestment managers are under constant pressure from evolving government regulations, reporting requirements and changing investor needs. Increasing cybersecurity and due diligence requirements add to the challenges managers must face. The financial services industry needs skilled professionals who have a nuanced understanding of compliance requirements, and technology that can support meeting those requirements.
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 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 MoreWith 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 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 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 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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