Money Managers

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Money Managers

Foreside understands the compliance concerns surrounding money managers, as well as the daunting task for investment managers to maintain the needed compliance oversight of a firm’s operations. Foreside provides an extensive suite of compliance services and strategic oversight for money managers, thus allowing for managers to focus on their unique businesses. Foreside’s expert attorneys and compliance professionals can provide the analysis needed to strengthen and enhance your compliance program in order to control and manage regulatory liability, as well as address operational risk areas within your organization.

We will:

  • Assist with SEC registration and filing of Form ADV (See Registration Consulting Services).
  • Conduct periodic reviews of the compliance program to incorporate new or changed regulations or best practice recommendations as appropriate.
    • Risk assessment and gap analysis with heightened attention to:
      • Registration and filings.
      • Valuation/best execution/trade management.
      • Conflicts of Interest.
      • Code of ethics/personal trading review.
      • Anti-money laundering review.
      • Specialized reviews, compliance assessments and regulator-mandated consulting.
    • Mentoring and advisement on the role of the CCO.
  • Assist with the drafting of CCO reports and establishing compliance calendars.
  • Conduct mock regulator examinations (See SEC Mock Audit Services).
  • Assist with vendor/service provider selection, oversight and due diligence.
  • Assist with conversion of funds to registered investment companies.

Support your in-house CCO

  • We provide services to support your in-house CCO:
    • Tasked based support.
    • Supplement your compliance weaknesses.
    • Moments notice request for support throughout the year.