Compliance Services

The Second Step to Independence – Ongoing Compliance

Greenwich Compliance also offers independent advisors and hedge fund managers services to help them keep their SEC or state registrations up-to-date and compliant. Specifically, Greenwich Compliance offers the following services to support independent advisors and hedge fund managers on the Interactive Brokers platform in meeting their ongoing compliance obligations:

  • SEC or state registrations or notice filings and investment adviser representative licensing support;
  • Assistance with your annual Form ADV updates and renewal filings (the “Annual Updating Amendment”); and
  • Assessing the compliance program, you have adopted to meet your compliance and regulatory obligations through:
    • Quarterly compliance meetings to discuss changes in the regulatory environment, review your compliance activities/obligations and suggest action items to be performed moving forward;
    • An annual, virtual review of your compliance program, material and related activities to identify areas of risk based on the current regulatory environment. Our reviews focus on ensuring your compliance material is current and relevant, books and records, cybersecurity and business continuity planning, etc.
    • Standalone compliance documentation creation, review and updating.

Contact us for a custom quote.