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.