Whitepapers | Foreside | Consulting Services

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

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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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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Common Myths About Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption”

In the financial services industry, whenever money changes hands, everyone involved in the process wants to get paid. Investors understand… Read More

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Compliance at Scale: An Overlooked Enabler for Growth

At any point along a RIA’s growth curve, a culture of compliance offers conviction that translates into speed and foresight…. Read More

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Interval and Tender Offer Funds

Learn the regulatory framework and operational considerations associated with unlisted closed-end funds. Did you know that closed-end funds’ regulatory and… Read More

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Mutual Fund Distribution Guide

Do you have a strategy when covering broker-dealers? We believe getting to know the intermediary mindset is critical for asset… Read More

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How to Successfully Cover a Broker-Dealer

Do you have a strategy when covering broker-dealers? We believe getting to know the mindset of the intermediary is critical… Read More

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What Are a FINOP’s Real Duties?

Most people think that a Financial and Operations Principal (“FINOP”) deals only with filing FOCUS reports and/or computing net capital,… Read More

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Top 10 FAQ’s For Providing Investment Advice to 401(K)

Many investment advisors provide investment advice to 401(k) plans. In these instances, the 401(k) Plan itself is the client. In… Read More

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The Cybersecurity 2 Initiative

On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert detailing examiners’ latest… Read More

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The Ins and Outs of Outsourcing Compliance

Compliance is one extremely important element of operating a registered investment adviser, fund or broker-dealer, and many financial services professionals… 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 advisors, as well as advisors that… 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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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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Successful Breakaway Requires Planning

Running an independent registered investment adviser (RIA) presents many possibilities for a breakaway broker. Diligent advance planning is critical to… Read More

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Changing + Adapting Your Distribution Model

Changing + Adapting your Distribution Model: While evolving regulations and changing investor behaviors have been significant over the past few years,… Read More

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Five Keys to Establish a Compliant Digital Marketing Program

It is probably fair to say that many registered investment advisors tend to be hesitant when it comes to digital… Read More

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Mock SEC Exams: Benefits and Considerations

The typical SEC examination will reveal some compliance deficiencies or internal control weaknesses at the firm. When the firm’s compliance… Read More

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Grow with Regulatory Confidence

As seen in Wealthmanagement.com’s 2020 mid-year outlook, Grow With Regulatory Confidence highlights how mock examinations take the guesswork out of… Read More

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The Expanded ETF Ecosystem – Transparent and Semi-Transparent ETFs

The exchange-traded fund (“ETF”) ecosystem consists of a web of interlocking entities and relationships that help ensure ETFs can be… Read More

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What Private Fund Managers + Issuers Need to Know

For firms that are marketing privately-issued securities, whether as a private fund manager or issuer, ensuring their activity is compliant… Read More

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Internal Broker-Dealer: Essential or Not?

Yes, fund managers need a broker-dealer to serve as the legal underwriter to the firm’s registered funds and to maintain… Read More

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Giving CCOs the Help They Need

The increased demands placed on chief compliance officers in a volatile market are creating regulatory risks that threaten to “trickle… Read More

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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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