| |
|
|
|
|
|
Welcome to the second edition of the Foreside Connections e-Newsletter! Foreside Connections serves as a powerful tool for enhancing the ties between Foreside and its valued clients. The aim of this quarterly publication is to keep you informed of new initiatives, corporate updates, upcoming events and industry trends. We hope you find this publication a valuable resource and welcome your suggestions and feedback.
|
|
Letter From The President
On behalf of Foreside, I want to thank you for trusting us to provide your team with services and support to help you achieve your goals. We want to share with you our e-Newsletter, Foreside Connections, a quarterly update on the events and changes that have impacted our firm, our clients and our industry. As we begin the New Year, we continue to focus on hiring industry experts and enhancing our technology capabilities across all aspects of distribution and compliance services. Our growth has enabled us to further develop new partnerships and services for global distribution and compliance solutions. We welcome the opportunity to discuss these initiatives further with your team. Foreside remains committed to our solutions which allow our clients to focus on their core business without sacrificing distribution and compliance best practices. Thank you again for your continued support.
David Whitaker
President
|
|
Department Spotlight
SEC Mock Audit Services
Are you ready for an SEC exam? In its 2016 National Examination Priorities Letter, the SEC noted that never before examined advisers remain a priority as do Private Fund Advisers, for which the SEC is focusing on fees, expenses, controls
and disclosure.
Foreside can help you prepare. We
have developed a streamlined and effective SEC Mock Audit program for registered investment advisers designed to simulate the experience of a real exam, including key person interviews. At the conclusion of the mock exam, Foreside's consultants will sit down with you and talk through the process, what worked and didn't work and provide practical recommendations for improvements to policies, procedures and examination responses.
Foreside's experienced consultants have been in-house and understand the importance of finding business-friendly compliance solutions and approaches.
Interested in learning more? Please contact Jennifer Hoopes at (207) 553-7138 or
[email protected]
.
|
|
Foreside Updates
Conference Recap
In January, Foreside attended the ETF.com Conference in Hollywood, Florida, which focused on the latest ETF trends and provided the opportunity for attendees to master all aspect of ETFs.
Foreside was also present at the
NICSA 2016 Strategic Leadership Forum
which focused on Risk & Compliance, Operations, Products & Distribution, and up-to-date information on industry topics.
Foreside attended
Pershing's 2016 Investment Manager Symposium which was focused on the impact of the DOL proposed fiduciary rule, Pershing's platform trends and asset flows, digital transformation of the advisor & investor experience and an update on the RIA marketplace.
Client Portal
Foreside launched its Client Portal in December 2015. This website provides clients with 24-7 access to frequently requested forms, manuals, and document links. The portal was designed to be user friendly and easy to navigate. We hope you will find it to be a helpful resource and to serve as a centralized location for accessing Foreside materials.
|
|
|
Foreside Connections Call
Navigating Raymond James Financial!
Foreside proudly continues the quarterly "Connections" conference call series for 2016. Partnering with innovative industry experts, we aim to cover a broad spectrum of industry topics, to assist you with the growth of your business. On Wednesday, February 10th, we hosted the 1st Quarter Connections conference call with guest speakers Phil Collier and Jesse Bernhardt of the Raymond James Product Partner Relations Team.
|
|
Mr. Collier and Mr.
Bernhardt provided
critical insight and best practic
es for
on-boarding the Raymond James
platform, as well as
furthe
r guidance into maximizing your firm's access and opportunity onc
e
on the platform. Additionally, through an
informative question and answer
session, Mr. Collier and Mr. Bernhard
t address
ed audience specific questions surrounding
the Raymond James Research Teams and an update on the upcoming merger with Alex Brown.
|
|
Upcoming Events
Investment Adviser Compliance Conference - March 2016
Foreside will be exhibiting at the Investment Adviser Compliance Conference March 10-11 in Washington, D.C. Jennifer Hoopes, Head of our Consulting Services, will be attending as will Susan Chamberlain, one of our Senior RIA Consultants. We will be available to talk about Foreside's RIA consulting services and how we can provide additional support and assistance to our clients - let us do the heavy compliance lifting so you can focus on what you do best. Please stop by - we'll be at booth #12! We look forward to seeing you there.
ICI Mutual Funds and Investment Management Conference - March 2016
In March, Foreside will attend the ICI Mutual Funds and Investment Management Conference in Orlando, Florida. This conference provides a forum to learn from SEC staff and industry experts about recent and upcoming regulatory efforts affecting funds. Additionally, access to the conference's wide-ranging panel sessions provides an opportunity to listen to industry experts discuss today's regulatory environment and market trends and what that means for the fund industry of tomorrow.
Quarterly Connections Call - May 2016
Join Foreside along with industry experts from LPL Financial as they discuss distribution opportunities at their firm.
|
|
Industry News/Resources
For links to recent industry news, resources, and insightful commentary please click
HERE
.
|
|
|
About Us
Distribution and Compliance Professionals dedicated to your success.
Foreside is committed to delivering innovative services that not only meet current requirements, but also anticipate emerging regulatory and marketplace developments. Clients rely on us to provide the information, operational support and strategic advice that are needed to thrive in today's complex arena of investments, compliance and risk management. We collaborate with recognized service providers to ensure our clients receive informative and quality services. Foreside is not affiliated with any of its partner service providers. For more information about Foreside, including service offering overview, staff bios, current industry news and upcoming industry conferences, visit our website at
www.Foreside.com
.
Sincerely,
Jennifer DiValerio
Managing Director, Client Management
Foreside Financial Group, LLC |
|
|
|
| |
|
