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.
RICHARD J. BERTHY
President and Partner, Foreside Financial Group, LLC
CHRISTOPHER LANZA
Director, ETF Services, 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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