Starting An ETF Series
The Exchange Traded Fund ("ETF") market is moving ahead very rapidly with both passive and active products in fast track development. You can enlist Foreside Financial Group, LLC and its affiliates, (collectively "Foreside") to provide assistance with getting your ETF series up and running as soon as possible. Foreside has gained significant experience in this fund product and can provide various services to help you with your plans, including:
- Fund Distribution through one of our affiliated FINRA member firms, including the services of Principal Underwriter for the ETF series;
- Sales and marketing compliance review and authorization according to FINRA requirements via our proprietary web portal;
- Order taker/router and call center for your funds' Authorized Participants ("AP") staffed by our Registered Reps;
- Fund Marketing/Wholesaling of your funds through our affiliate Foreside Advisory Network, LLC;
- Sarbanes-Oxley certification services through a Principal Financial Officer as well as the services of a Treasurer to manage and review fund expenses;
- Independent Chief Compliance Officer under SEC Rule 38a-1;
- Assistance in building and maintaining your advisor compliance program for the funds;
- Start-up services are working in conjunction with your legal representatives and chosen fund Administrator/Index receipt agent
- Specialized technology assistance such as the design and provision of fully secure creation/redemption message interfaces with your distributor, sub-advisor or APs.
- Assistance in the identification of your potential service providers and partners, including administrator/custodian, law firm and APs; and
- Access to our comprehensive Exchange Traded Fund information database with a wealth of data on all US registered ETFs.
Our experienced staff can assist you with an initial review of your requirements and plans. Please contact us for an initial and confidential discussion and to learn more about how we can help you.
DAVID WHITAKER
Chief Operating Officer, Foreside Financial Group, LLC
CHRISTOPHER LANZA
Managing Director, ETF Services, 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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