Compliance Connections Webinar: 2021 Year End Review and Critical Compliance Reminders
During this webinar our panelists discussed 2021 year-end compliance priorities for Broker DealersHear More
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