Annual Inspections & Testing

Greyline offers annual inspections (for OSJs and branch offices) pursuant to FINRA Rule 3110(c) and annual testing and verification of supervisory control procedures.

During this process, we conduct an in-depth review of your firm’s business activities, written supervisory procedures and actual practices, and perform a gap analysis to ensure your firm is meeting its obligations under FINRA and SEC rules.

insider trading

Learn more about how we support financial services firms' global regulatory, operational and governance needs.

Greyline is pleased to announce that we have made the short list for the 2021 HFM U.S. Service Awards in the Best Advisory Firm and Best Technology Firm – Newcomer categories. The award winners will be announced on September 22.