Policies and Procedures
Every compliance team needs a comprehensive set of policies and procedures. From fulfilling investor expectations to setting boundaries with your investment committee and employees, asset managers should ensure that their policies and procedures not only meet industry standards but are also tailored to the firm’s distinct business model and culture. At Greyline, our job is to make sure clients do everything they can to be in compliance with applicable laws and rules. We help you develop compliance policies and procedures including protocols for dealing with non-compliance. We also help clients develop their business continuity plans, code of ethics and policies in the areas of valuation, fees and expenses, portfolio management, privacy, identity theft protection, anti-money laundering, anti-bribery and corruption to make sure their risk and compliance systems are in alignment with regulatory and investor expectations.
We offer compliance audit services (also known as a “mock exam”) for registered investment advisers, commodity trading advisers, commodity pool operators and private fund managers. Our in-depth understanding and expertise means that our review of your current compliance program will be with discerning and qualified eyes. Our review will be comprehensive, relevant to your business, and timely so you can act on the results right away. Based on our initial consultation with a client, we can customize a traditional, risk-based or targeted audit. Finally, while actual audits and mock exams typically cover at least a year of a firm’s operations, Greyline also offers mock exams covering a fiscal quarter, which can be more cost-effective and efficient to manage, especially for smaller firms.
Greyline offers ongoing support and onsite solutions to Chief Compliance Officers. Compliance management services are ideal for firms that require more in-depth and hands on compliance services. We help with a wide variety of perennial and current issues alike, such as JOBS act compliance, SEC filings, Form PF, IARD, Form ADV, Code of Ethics administration, cyclical compliance reviews, and compliance calendaring. We also work with marketing teams on a variety of functions such as due diligence checklists, reviewing marketing materials, investor/client reporting and investor/client intake processes. Our knowledge of RIA, CPO and CTA compliance helps us stay ahead of the curve and develop custom compliance programs that help keep our clients feeling confident.
Our compliance trainings are based on our seasoned experience working with a wide range of registered investment advisers, managers to private funds, including hedge, private equity, venture and real estate, commodity trading advisers and commodity pool operators. Our team includes alumni of large asset managers who can scale compliance training to a range of firm sizes and requirements. At Greyline, our compliance training programs ensure that internal personnel are fully apprised of the rules that impact their roles, whether they are SEC, CFTC, NFA or a state. We focus on key issues such as the firm’s preapproval processes, internal compliance checks, ethics and insider trading. Your team will be empowered to foster a culture of compliance and interact effectively with regulators. In addition to full annual trainings, we offer orientations for new employees and sessions that can be tailored to a particular issue or policy.
Communications & Marketing Review
In today’s evolving digital landscape, Greyline provides up-to-date, practical advice to assist firms with their marketing and communication policies. We help our clients navigate safely through email, web, social media, marketing and investor/client reporting processes to ensure that the firm adheres to current regulatory guidelines. Moreover, Greyline works with clients to develop compliant social media marketing strategies.