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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

Foreside Connections Webinar: SEC Exam Priorities 2022

In this webinar, Foreside and K&L Gates dove into the 2022 examination priorities, with a particular focus on the impact on compliance programs of investment advisors and investment companies

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Foreside Connections Webinar: Why Your Competitors Are Launching Continuously-Offered Closed-End Funds

With double-digit growth rates over the last several years, it’s not surprising that Foreside is having more conversations with managers about closed-end, continuously-offered interval, and tender-offer funds.

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Foreside Connections Webinar: 2022 Report: FINRA’s Examination and Risk Management Program

During our recent webinar, Kayte Toczylowski of FINRA joined Foreside to discuss a series of relevant industry topics, ranging from FINRA Innovations and Regulation Best Interest to Digital Assets.  

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Foreside Connections Webinar: The ETF Forum: 2021 Lessons Learned + Plans for the Future

During our recent webinar, Foreside and Vedder Price, along with our guest speakers from WisdomTree and American Century, engaged in an insightful discussion around the ETF marketplace and where this wrapper may be headed in the future.

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whitepapers

ETF Build and Distribution Guide

If you are looking to launch an ETF, this guide is for you.  Our ETF Build and Distribution Guide will… Read More

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The Tech Conundrum: At What Point Does Automation Become ‘Too Much’ of a Good Thing?

A fine line is emerging between technology that enhances and enables consultants and new “capabilities” that instead create a false… Read More

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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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Foreside in the news

Foreside Acquires Cipperman Compliance Services

April 7, 2022

  Foreside continues to strengthen its outsourced CCO capabilities and complements its distribution solutions with latest acquisition Portland, Maine –... Read More

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Family offices cautiously joining the crypto party

March 28, 2022

  More family offices are increasing crypto exposure to diversify their investment portfolios, but they are taking steps slowly and... Read More

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JD Supra Names Foreside Consultants Top Compliance Authors for 2022 Readers’ Choice Awards

March 22, 2022

  Portland, Maine, March 18, 2022 —Foreside Financial Group, a leading compliance and distribution solutions provider, announced that two of... Read More

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Why the Great Resignation poses a new level of compliance risk

March 15, 2022

  ETF express recently shared a piece written by Mark Fairbanks, Senior Director at Foreside. Mark shares with readers that... Read More

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Spotlight

Foreside Partner Spotlight: CAPIS

Capital Institutional Services, Inc. (CAPIS) was founded in 1977 to provide a different – and better – way of delivering… Read More

Foreside Solution Spotlight: Interval Fund / Closed End Fund Space

Interval Fund / Closed End Fund Space Interval and tender offer funds offer an intersection between traditional mutual funds and… Read More

Foreside Partner Spotlight: NQR

National Quality Review (NQR), founded in 1991, provides third-party oversight solutions to the nation’s leading fund families. NQR empowers the… Read More

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