Why Work With Greyline Compliance
Experienced Compliance Professionals
Our team understands the regulatory requirements facing investment advisers and provides practical assistance based on real-world compliance experience.
Responsive Support
Compliance questions often require timely attention. We provide direct communication and guidance when firms need assistance.
Customized Compliance Solutions
Every advisory firm operates differently. We provide compliance support based on your firm’s structure, regulatory obligations, and specific needs.
Our Services
Greyline Compliance provides support across key areas of investment adviser compliance, including:
- Registration and regulatory filings
- SEC Form ADV amendments
- IARD filings and administration support
- Compliance policies and procedures
- Code of Ethics development and updates
- Personal Trading Reviews
- Annual compliance review
- Documentation of compliance reviews
- Testing of compliance policies and procedures
- Risk Assessment
- Updates regarding regulatory changes
- Mock SEC and state examination preparation
- Email and electronic communications review
- Cybersecurity policies and procedures
- Business continuity and disaster recovery planning
- Compliance calendars and tracking tools
- Client suitability reviews
- Privacy policies, notices, and disclosures
- Offering document review and updates
Regulatory Examination Support
Preparation Before the Examination Process
Regulatory examinations require preparation, documentation, and a thorough understanding of compliance requirements.
Greyline Compliance assists firms with:
- Reviewing examination requests
- Evaluating compliance documentation
- Identifying areas requiring attention
- Preparing supporting materials
- Providing guidance throughout the examination process