For traditional investment advisors or wealth management firms, Greyline offers comprehensive compliance support geared toward ensuring our clients are able to achieve the strongest 206(4)-7 Annual Compliance Review.

We deploy a variety of tools to create automated and repeatable processes, as well as auditable testing, and provide our clients with unparalleled transparency. All of our tools include reporting suitable for internal use or production in a regulatory examination. Our services are comprehensive and tailored to each client’s individual needs, however, a typical engagement includes:

  • Electronic communications review and monitoring.
  • Code of ethics support, including monitoring of personal trading and outside business activities.
  • Marketing material reviews.
  • Preparation of regulatory filings, including Form ADV, Form 13H, Form 13F and Forms 3, 4, 5.
  • Implementation of a compliance calendar and testing plan.
  • Periodic testing and risk assessments in selected areas.
  • Annual and new employee compliance training.
  • Insider trading training and policy development.
  • Assistance with various committees, including compliance, best execution/soft dollars and valuation.

Contact us to learn more about how we support investment advisors through the compliance process.

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