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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

Expanding to the U.S.

Entering the U.S. by way of partnership The Brief: A global investment management company regulated by the UK’s Financial Conduct… Read More

ETF Legal Underwriting

Established mutual fund provider sees benefits in outsourcing ETF operations The Brief: A well-established, $178B investment advisor who has been… Read More

Private-Label Broker-Dealer

Keeping brand recognition while outsourcing services The Brief: In 2018, Foreside began a partnership with one of the pioneers of… Read More

ETF Chief Compliance Officer

Limiting fixed expenses without sacrificing quality The Brief: A start-up ETF sponsor needed assistance with establishing a compliance program ahead… Read More

Calls/webinars

Compliance Connections Webinar: 2021 Year End Review and Critical Compliance Reminders

During this webinar our panelists discussed 2021 year-end compliance priorities for Broker Dealers

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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).

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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.

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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. 

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whitepapers

Fund Compliance Challenges for Asset Managers

Asset managers are no strangers to compliance challenges. Jennifer Hoopes, Senior Managing Director and General Counsel at Foreside, shares the… Read More

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Impact of The SEC’s New Marketing Rule on Private Fund Advisors

The SEC’s Marketing Rule, adopted on December 22, 2020, expressly applies to certain communications with private fund investors and not… Read More

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A Primer on Form D and Blue Sky Filings for Private Fund Managers

SEC registered or exempt reporting private fund advisors must consider applicability of numerous federal filing requirements, including Form D. To… Read More

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A Glimpse Into The Crystal Ball

What will the next 12 months will look like for private fund compliance?  From significant dips in the market to… Read More

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Foreside in the news

Foreside bolsters private fund practice for hedge funds, private equity firms and digital asset managers

October 13, 2021

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

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How a unified public regulatory database will help investors — and advisors

October 11, 2021

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

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Foreside Financial Group and WTax Partner To Optimize Reclamation of Investors’ International Withholding Tax

October 6, 2021

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

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FINRA Targets Firms’ Social Media Activity

September 30, 2021

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

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Spotlight

Foreside Solution Spotlight: Fact Sheet Design + Production Services

Fact Sheet Design + Production Services Foreside is well-versed in the design, creation, and production of fund fact sheets and… Read More

Foreside Partner Spotlight: WTax

WTax assists clients to optimize their withholding tax recovery process. As an outsourced solution, WTax specialists take care of all… Read More

Foreside Partner Spotlight: YCharts

YCharts was built to help you make smarter investments & visually communicate your insights. Building and executing a great investment… Read More

Foreside Solution Spotlight: Series Trusts vs. Stand Alone Trusts

One of the biggest questions a sponsor may have it whether or not to launch its own trust or go… Read More