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:
RICHARD J. BERTHY
Partner, Foreside Financial Group, LLC
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Rich Berthy will assume the role of President, Foreside Financial Group, LLC from May 30th, 2008. more
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Success Stories
Read about the successful experiences that our clients have had with our services.