Regulatory Exam Support

An SEC exam notification is enough to send even the steadiest professional into a state of panic.

Greyline’s regulatory exam support services are designed to reduce that stress and guide you through all aspects of an examination from start to finish.

Our approach includes:

Preparation

Whether through conference calls or onsite meetings, our senior staff will prepare you from the moment you receive your exam notification, through the deficiency letter response and beyond.

  • Meetings will start with an overview of the typical examination process and recent color from examinations that are relevant to your firm.
  • Our senior staff will walk you through the document request, answer any questions that you might have and help plan the response.
  • We will spend time with compliance officers and senior management to prepare them for interviews.

During the Exam

  • Our staff will organize the request lists, prepare logs to track responses, review documents and information for accuracy and responsiveness and prepare the files for submission to the SEC.
  • We will train your staff on their role during the exam, whether it is to carry on business as usual, or guiding those who will be identifying and preparing documents for review and submission to the SEC.
  • If your examiners will be onsite, we will help you set up their workspace and provide tips for facilitating discussions with SEC staff during the examination.
  • We will continue assisting you in responding to document and information requests throughout the exam.

Exam Conclusion

  • The majority of examinations end in deficiency letters. Our goal is to set you up for a strong response.
  • We help you revise or prepare new policies and procedures to respond to any issues raised by the SEC. We will also consult with you on any ongoing procedures, and we will be available to assist in implementing them.
  • You can engage us to monitor any issues on an ongoing basis.

Our regulatory exam support engagements are often done in consultation with in-house or outside legal counsel, and since our staff is comprised of former attorneys, our ability to communicate with these professionals is unparalleled.

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Darren Mooney

Partner and Co-Head of Business Development

Darren Mooney is a Partner and the Co-Head of Business Development at Greyline. Before joining Greyline, Darren served as deputy chief compliance officer of Partner Fund Management where he held primary responsibility for the compliance program of the second-largest hedge fund in the Bay Area. Prior to that, Darren spent five years providing compliance consulting services at Cordium and then ACA Compliance Group, where he led the company’s San Francisco office and west coast operations. In addition to providing ongoing consulting services to a variety of investment managers, including hedge fund, private equity, venture capital, real estate, quantitative and other wealth managers, Darren also regularly guided clients through the SEC registration process, implemented tailored compliance programs, supported clients’ live SEC exams, and served as an SEC-mandated independent compliance consultant following an SEC enforcement action. Darren’s other experience includes serving as deputy chief compliance officer and associate counsel at F-Squared Investments where he directly supported the compliance program during the investigation and subsequent enforcement regarding historical advertising practices. Darren has a B.S. in Economics from the University of Delaware and a J.D. from Suffolk University Law School. He is a member of the Massachusetts bar.

Annie Kong

Partner and Head of Venture Capital
Annie Kong is a Partner and Head of the Venture Capital Division at Greyline. She provides ongoing compliance consulting to investment advisers and manages client relationships. Prior to joining Greyline, Annie was part of compliance and operations at a long-only manager-of-managers that advised pension fund clients. While there, she conducted compliance and operational due diligence on SEC-registered investment advisers on the platform. She also oversaw and counseled on various legal matters across the firm. Annie has a B.A. in Economics from the University of California, San Diego, and a J.D. from the University of San Diego School of Law. She is an active member of the State Bar of California.
Greyline is pleased to announce that we are the recipient of the 2021 HFM U.S. Service Award in the Best Technology Firm – Newcomer category.