Annual Inspection and Testing

Greyline offers annual inspections (for OSJs and branch offices) pursuant to FINRA Rule 3110(c) and annual testing and verification of supervisory control procedures.

During this process, we conduct an in-depth review of your firm’s business activities, written supervisory procedures and actual practices, and perform a gap analysis to ensure your firm is meeting its obligations under FINRA and SEC rules.

Contact us to set up an annual internal compliance inspection for your organization.

  • About Greyline

    Greyline provides outsourced compliance services for private fund managers, commodity pool operators and commodity trading advisors, traditional investment advisors and other financial firms.

  • Contact Us

    44 Montgomery Street, Suite 1900A, San Francisco, CA 94104

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