Foreside and its affiliated broker-dealers review thousands of pieces of marketing material each year. This material includes fund fact sheets, websites, social media marketing materials, article reprints, presentations, annual and semi-annual reports, shareholder letters and broker-dealer communications. Our success in this area is due to our compliance team’s industry and regulatory knowledge, and our ability to work closely with our clients and the appropriate regulatory bodies. Foreside will review, provide comments, and file, if applicable, all marketing materials via Foreside AdCompliance®, our proprietary internet-based portal to coordinate marketing material review with SEC and FINRA. Foreside AdCompliance® was designed with the user in mind – whether the marketing department, compliance department or management teams. Our software is web-based, functional, comprehensive, and practical. One of the system’s primary advantages is its workflow management which allows for customized workflows, collaboration with peers, progress tracking, audit trails, reporting capabilities, a single repository, and disaster recovery. Foreside AdCompliance® is compliant with SEC Rules 17(a)-4 and 204-2, as well as GDPR.
