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Legal Underwriting Solutions
Compliance and operational support for registered and private fund distribution.
ACA Group’s Foreside provides legal underwriting solutions to support the compliant distribution of registered and private funds. ACA Foreside helps firms:
- Review marketing materials: Support the review and filing of marketing materials with the Financial Industry Regulatory Authority (FINRA).
- Manage selling agreements: Coordinate and administer selling agreements to support fund distribution.
- Administer 12b-1 fees: Support the administration of 12b-1 fees and related operational requirements.
- Support NSCC membership: Sponsor membership with the National Securities Clearing Corporation (NSCC).
- Expand fund distribution: Access compliance and operational expertise when launching new funds or expanding distribution.
Ready to strengthen your legal underwriting and fund distribution? Complete the form to discuss your compliance, operational, and distribution needs with ACA Foreside.
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Comprehensive Distribution and Compliance Services
From regulatory filings to intermediary connectivity, ACA Foreside delivers the compliance and operational support your firm needs to distribute fund shares efficiently and compliantly.
Marketing Material Compliance Support
NSCC Sponsorship and Placement Agent Services
Distribution Agreement Management
Fee and Load Administration
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Learn why the industry’s most well-known firms choose to partner with us. Book a call with our distribution team to develop a legal underwriting plan tailored to your needs.
The ACA Foreside Advantage
Navigating fund distribution and regulatory obligations requires more than legal and compliance expertise; it demands a partner who understands the full picture. That’s where we come in.
Deep Regulatory and Legal Insight
End-to-End Distribution Support
Trusted Industry Partner
FAQs
Legal Underwriting Solutions
What is legal underwriting in the context of fund distribution?
Legal underwriting involves reviewing and supporting the compliance and regulatory aspects of fund distribution, including marketing material compliance, selling agreements, and placement agent responsibilities.
How does ACA Foreside support compliance with SEC and FINRA regulations?
We review, provide regulatory approval, and file fund marketing materials with FINRA, ensuring they meet SEC and FINRA standards, helping you avoid delays and reduce regulatory risk.
Can ACA Foreside act as a placement agent for private offerings?
Yes. We enter into sub-placement agent agreements with selling broker-dealers to facilitate the compliant distribution of private placements, including private funds and alternative investment vehicles.
What types of funds can benefit from your legal underwriting services?
Our services support a wide range of fund structures, including registered funds (mutual funds, closed-end funds, and exchange-traded funds), collective investment trusts, Undertakings for Collective Investment in Transferable Securities, Société d’investissement à Capital variable, and private placements.
What are the advantages of partnering with ACA Foreside for legal underwriting?
We offer a streamlined, end-to-end solution that combines legal and compliance expertise with operational efficiency, reducing your internal burden while ensuring your distribution strategy is compliant and scalable.
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