Chief Compliance Officer Services
You can enlist Foreside either to assist your existing CCO on a consulting basis, or to to provide a qualified officer to serve in the capacity of CCO for your funds. We will administer the fund's Rule 38a-1 compliance program providing you the peace of mind that Foreside is carefully monitoring and testing the Fund's operations and service providers. Our resources can be particularly helpful for special projects and reviews, especially when you just need some short-term or periodic help.
Download an overview of our Independent CCO/Fund Governance Model
Our CCO services include:
- Review and recommend written policies and procedures updates
- Design and testing of elements of the program
- Preparation of written annual reports and review
- Provide oral and written reports to a fund's Board
- Provision of a named CCO where required, either on a temporary or permanent basis
Please see also:
- More information on our model 38a-1 compliance program
- Our compliance program workflow technology
- Our web-based compliance workflow solution
- A compliance success story for a new fund
- Comments to Proposed Rule regarding Enhanced Disclosure and New Prospectus Delivery Option SEC File No. S7-28-07
For more information, please contact:
DAVID WHITAKER
Chief Operating Officer, Foreside Financial Group, LLC
News
Aug 18 2008
Foreside has concluded its expansion of the Portland, Boston, and Columbus offices. more
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
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Success Stories
Read about the successful experiences that our clients have had with our services.
