Compliance Connections Webinar: The Nine Lives of CAT: FINRA’s New Order Reporting System
This webinar is an overview of FINRA’s Consolidated Audit Trail (CAT) and the CAT Customer and Account Information System (CATCAIS).Hear More
Exam Deficiencies for Private Fund Advisors
This session will discuss common issues and deficiencies that fund advisors experience during SEC exams and provide practical tips to avoid them.Hear More
Mutual Fund to ETF Conversions: Is This for My Firm?
During the 2021 ICI General Membership Meeting and Operations and Technology Conference, Foreside and our industry panelists walked attendees through the essential framework needed to help firms decide whether converting their Mutual Fund to an ETF is right for them.Hear More
Foreside Connections Webinar: Part II – New SEC Marketing Rule: What You Should Know
During Part 2 of our recent webinar on the new SEC Marketing Rule, Foreside & Stradley Ronon discussed the new SEC Marketing Rule.Hear More