Foreside Success Story
Supporting a current Mutual Fund client in the daily aspects of Sales Material and Compliance Review
On behalf of a valued Foreside Client, the advertising compliance group recently reviewed and commented on a piece of sales material that presented a unique perspective in marketing the fund family. As such, the compliance group worked closely with the client in an effort to ensure the material complied with applicable FINRA and SEC rules. Given the nature and urgency for using the material, the compliance group recommended to the client that the material be filed on an expedited basis with the FINRA prior to using with the investing public. Accordingly, the material was filed with the FINRA and upon receipt of their comment letter minor revisions were made to the material. This prompted a very nice acknowledgement from Mr. John Montgomery, Founder, Bridgeway Funds, to Foreside's compliance group:
Dear Mark:
"Thanks for your work on this. I guess we are cutting some new ground. I was very pleased".
John
For more information on Sales and Advertising Review, please contact:
DAVID WHITAKER
Chief Operating Officer, Foreside Financial Group, LLC
News
Sep 30 2009
Foreside is pleased to announce Susan Mosher has joined Foreside as President of Foreside Alternative Investment Services ("FAIS"). more
Sep 25 2009
Foreside is pleased to expand its current relationship with Turner Investment Partners. more
Sep 21 2009
Foreside is pleased to expand its current relationship with Bridgeway Capital Management, Inc. more
Sep 15 2009
Foreside welcomes Ardmore Investment Partners LLC as a new client to our firm. more
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Success Stories
Read about the successful experiences that our clients have had with our services.
