Broker-Dealers

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.

Want to learn more about how we support FINRA registrants? Contact us for more in-depth information.

  • About Greyline

    Greyline provides outsourced compliance services for private fund managers, commodity pool operators and commodity trading advisors, traditional investment advisors and other financial firms.

  • Contact Us

    450 Geary St., Suite 100, San Francisco, CA 94102
    info@greylinesolutions.com