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ETF Solutions

As a strategic partner to your fund family, our experienced professionals stand ready to advise you regarding the regulatory, financial, operational and distribution requirements of your exchange-traded funds (ETFs). We closely follow the expanding U.S. and international ETF marketplaces and the rapid product innovation in the market today.  We also understand the various ETF strategies, such as index and active management, for equity, bond and commodity fund types. Foreside is also your conduit to the Authorized Participant (AP) community, interacting daily with the APs, on your behalf.

Foreside, as the legal underwriter for ETFs, will:

  • Review, approve and file marketing materials via our proprietary software, Foreside AdCompliance®, to maintain compliance with SEC and FINRA regulations.
  • Facilitate, negotiate, and coordinate AP agreements
  • Provide call center technology for AP orders and advisors
  • Deploy FINRA-registered staff to receive AP orders on recorded lines
  • Facilitate the review and approval of all AP orders, including the transmission to custodians and advisors utilizing our proprietary order entry portal, ForesideXchange®
  • Provide robust reporting to the asset manager and the fund Board

Additionally, Foreside offers ETF Consulting and can provide Fund Officers for your ETF:

  • Start-up consultation and project planning, including industry, financial, operational, regulatory and compliance advice
  • Product development – ETFs, commodity funds, and ETNs
  • Selection of potential service partners including APs, sub-advisors, index providers, administrators/custodians
  • Fund Officer + Regulatory Administration Services

why foreside makes sense

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partnership for growth

We provide our clients the most innovative offerings that help drive their business forward. 

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Consultative + Comprehensive

We see regulation as a catalyst for innovation. 

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transformative tech

We apply best-in-class technology to address today’s regulatory reality and drive operational efficiency.