Greyline provides the following ongoing compliance support and services for its broker-dealer clients:
- Initial setup of compliance program. This includes an in-depth review and gap analysis of your firm’s written supervisory procedures, including anti-money laundering procedures. Upon completion of this review, Greyline will deliver and assist in implementing a complete compliance program customized to your firm.
- Ongoing assistance in implementing processes as outlined in your firm’s written supervisory procedures, and completing tasks according to your firm’s compliance program.
- Ongoing review of published regulatory updates to determine the impact to your firm. Applicable updates will be made to your firm’s compliance program as necessary.
- Training:
- Firm Element Continuing Education (Rule 1120b): annual needs analysis and program setup.
- Annual compliance meeting facilitation.
- FINRA exam preparation, as occurs.
- Annual independent audit and testing of AML procedures (Rule 3310).
- Annual internal OSJ compliance audit/inspection (Rule 3110(c)).
- Annual testing and verification of supervisory controls and CEO certification (Rules 3120 and 3130).
- Form filings, as occurs (Form BD, Form U4, Form U5)
- FINRA CRD and firm gateway monitoring, support and facilitation.
Want to learn more about how we support FINRA registrants? Contact us for more in-depth information.
