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Welcome to the Foreside Connections Knowledge Center! We know it is important to stay on top of distribution trends, compliance topics, best practices,  and other topics of interest, so Foreside created a knowledge center to do it for you! We are committed to providing solutions and knowledge that will allow you to focus on your core business without sacrificing distribution and compliance best practices.

Case studies

ETF Consulting

Foreside helps big firms too (regardless of their established name). The Brief: A large Global Asset Manager (GAM) with multiple… Read More

Gateway to the U.S.

Finding the right entry point to the U.S. for your Firm. The Brief: An international asset manager based in London… Read More

Fund Principal Financial Officer

Seeking to protect and benefit our clients. The Brief: A  fund manager with a global investment strategy had incurred millions… Read More

‘Foreside Letter’

At Foreside, we see regulation not as an obstacle, but as a catalyst for innovation. The Brief: Foreside recognized time… Read More

Calls/webinars

SEC’s Proposed Amendments to the Advisers Act Advertising Rule

Foreside’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.

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Entering the U.S. Market – Opportunities, Challenges and Solutions

As a leading provider of distribution and compliance services to the global investment management industry, Foreside has helped numerous clients access the U.S. market and understand the opportunities available.

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Compliance Connections: Broker-Dealers – Preparing for Audit Season

The year-end financial closing process and audit preparation "season" is coming sooner than you think. Understanding what your auditors will focus on is essential for you to play your part in making this regulatory requirement as pain free as possible. Remove the year-end angst by gaining a thorough understanding of how to properly prepare so you have a controlled process to ensure you meet that looming deadline.

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Compliance Connections- Form CRS

Foreside hosted Kelli Haugh, Shawn Wilson and Kerry Rider of Foreside on a dynamic conversation around Form CRS requirements including practical tips and best practices for preparing the summary, which goes into effect next year.

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Foreside in the news

Could Coronavirus Disruptions Delay the Reg BI Compliance Deadline?

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.

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Advisors Share Work-from-Home Client Servicing Strategies

Working 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.

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Covid-19 Could Push SEC to Delay Reg BI

The 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.

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Hedge Fund Diligence Questions Skyrocket During Coronavirus

Hedge 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.

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whitepapers

Private Fund Managers and Broker-Dealer Registration

A private fund is a direct offering of securities to a limited number of qualified investors. Investors in private funds… Read More

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Guidance on Testimonials and Social Media

As the SEC’s proposed Advertising Rule moves forward, advisory firms should not let a social media consultant cause their compliance… Read More

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Form CRS – Frequently Asked Questions

Investment advisors registered with the SEC will be required to deliver a new client relationship summary (Form CRS) to retail… Read More

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SEC Issues Proposal to Modernize the Advertising and Solicitation Rules

The proposed amendments to the Advertising Rule and Solicitation Rule apply to all SEC-registered advisers, as well as advisers that… Read More

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