Exempt Reporting Adviser Support Services

Though minimally regulated, exempt reporting advisers are still subject to U.S. general securities laws, just like any other market participant. Many advisers also choose to implement certain compliance policies and procedures as a matter of best practices.

The SEC and some states offer exemptions from registration requirements for private fund managers and venture capital firms. However, claiming these exemptions can limit a firm’s advisory activities.

Greyline works closely with our exempt reporting advisers clients to navigate their options and create a scaled, nimble and practical compliance program. We also work with growing firms who anticipate interest from more sophisticated investors, and factor their diligence requirements into their compliance program. Our process includes:

  • Analyzing the firm’s business model, strategies and growth goals
  • Preparing and filing Form ADV Part 1
  • Drafting custom policies and procedures
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.