Designed by experienced compliance experts and tailored to fulfill the ongoing compliance obligations of investment advisor firms, each level of support of Foreside’s compliance programs provides a dedicated consultant, supported by a team of compliance professionals, to deliver proactive services and continuous support to your firm. Foreside’s Partner Program for registered investment advisors provides various levels of comprehensive and customized support of your firm’s compliance needs and allows you the flexibility to move between programs at any time.
- Partner ESSENTIALS –Basic Program with a Dedicated Expert Consultant
- Partner PRO – Customized Program with Expert Support
- Partner PLUS – Proactive Compliance Partnership with Unlimited Consulting
- Partner ELITE – Comprehensive Solution with Outsourced Compliance Functions
Foreside also offers specific compliance consulting services through our expert consultants. These customized, cost-effective services include:
- Assistance with SEC registration as an investment advisor
- Compliance consulting support
- Gap analysis
- Create and maintain a compliance program and calendar tailored to the firm’s size, culture and business
- Annual testing/reviews including compliance meetings and mock regulatory exams
- Training for representatives
- Marketing and advertising material review using our proprietary software, Foreside AdCompliance®
- SEC mock audits
- Examination support
- Provide an interim advisor CCO
