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.

Compliance
SEC Issues Risk Alert on ESG Investing
On April 9, 2021, the Securities and Exchange’s Division of Examinations (the “Division”) issued a Risk Alert related to firms’ practices on environmental, social and
April 13, 2021

Compliance
Who is Archegos Capital?
From seemingly out of the blue, Archegos Capital became the most talked about investor in the world last week. And it was not for a
April 7, 2021