ETF Series 'Partner Solution Program'
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 is partnering with a number of major administrators and advisors that together with Foreside can provide a near turn-key solution for your ETF, including:
- An established ETF Trust vehicle with certain ETF exemptive applications already in place;
- Well known fund counsel, experienced in all aspects of ETFs, together with experienced Trustees and public audit firm;
- Appointment of your ‘Registered Investment Advisor’ as advisor or sub-advisor (subject to Trustees’ review and approval), to execute the ETF investment strategy, or alternatively, access to one of our sub-advisor partners;
- A major global bank that provides custody, index receipt agent, accounting and administrator functions;
- One of Foreside’s affiliated FINRA member firms, to provide 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;
- Optional order taker/router and call center for your funds' Authorized Participants ("AP") staffed by our Registered Reps;
- Fund marketing/wholesaling of your funds either through our affiliate Foreside Advisory Network, LLC or through our Advisor partner’s wholesaling program;
- 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 serving under SEC Rule 38a-1;
- Specialized technology assistance such as the design and provision of fully secure creation/redemption message interfaces to your sub-advisor;
- 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.
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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