REGULATORY CONSULTING SERVICES
1. For Registered Investment Advisors
Compliance Consulting and Support
- Compliance Program Design and Implementation, Monitoring and Testing
- Risk Assessment and Gap Analysis
- Best Execution/Trade Management Reviews
- Code of Ethics/Personal Trading Review
- Anti-Money Laundering Reviews
- Specialized Reviews and Compliance Assessments
- Regulatory Mandated Consulting
- Regulatory Compliance Review
- Mock Regulatory Exams
- CCO Support Services
- Registration Support Services
- Vendor Selection
2. For Registered Investment Companies
Compliance Consulting and Support
- Compliance Program Design and Implementation, Monitoring and Testing
- Risk Assessment and Gap Analysis
- Code of Ethics Review
- Anti-Money Laundering Review
- Post Trade Compliance Review
- Assistance with CCO Annual Report Writing
- Specialized Reviews and Compliance Assessments
- Regulatory Compliance Review
- Service Provider Compliance Program Evaluation
- Mock Regulatory Exams
- CCO Support Services
- Design and implementation of an operational metrics program
Sarbanes-Oxley Consulting and Support
- Assistance with Certification reviews for Fund SEC filings
- Assistance with Fund Procedure Design
- Disclosure Control Committee Design
- Fair Value Pricing Design
- Fund Contract Review
- Treasurer Outsource Services
Request for Proposal Process
- RFP Design and Support
- Vendor Selection
3. For Broker Dealers acting as a mutual fund distributor
Consulting
- Compliance Program Design and Implementation, Monitoring and Testing
- Anti-Money Laundering Review
- Mutual Fund Sales Practices Review
- Review of Written Supervisory Procedures and Supervisory Control Procedures
- E-mail Review Service
- Specialized Compliance Reviews and Assessments
- Regulatory Compliance Reviews
- OSJ/Branch Inspections
- Continuing Education Needs Analysis/Annual Compliance Meetings
- Regulatory Mandated Consulting
- CCO Support Services
- Review of Client Correspondence
Registration Services
- Initial Application of NASD/NYSE Member Broker/Dealer
- Membership & Registration Changes
- State Applications
- Form BD Amendments
- CRD Filings
- U4 and U5 Filings
- Customer Complaint Filings
Advertising Review
- Advertising Sales Literature & Web Site Review
- Special Projects
- Training
Financial Reporting Services
- Net Capital & FOCUS Filing Support
- Financial Reporting Assistance
- Financial Responsibilities and FINOP Support
- Reviews of Required Books and Records
For further information on any of these consulting services, please contact:
RICHARD J. BERTHY
President and Partner, Foreside Financial Group, LLC
News
Jul 1 2008
Foreside is pleased to extend its existing service relationship with RMR Advisors, Inc. more
Jun 16 2008
Foreside welcomes the Allstate Financial Investment Trust as a new client of our firm. more
May 27 2008
Rich Berthy will assume the role of President, Foreside Financial Group, LLC from May 30th, 2008. more
May 07 2008
Foreside leases new office space in Columbus, OH to meet expansion plans. more
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Success Stories
Read about the successful experiences that our clients have had with our services.