Are You Ready for SMCR?

Are You Ready for SMCR?

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Now that the “100 days” and “three months to go” milestones have passed, the time for complacency is over and it is imperative that U.K. investment management firms have a robust implementation plan that will bring them into compliance with the Senior Managers and Certification Regime (SMCR) by 9 December 2019.

Greyline stands ready to provide comprehensive and practical support for any firm grappling with SMCR implementation. We maintain a flexible approach and can offer any combination of services – ranging from a high-level sense check of your implementation plan all the way through to comprehensive and bespoke support in every aspect of your implementation. In particular, we aim provide hands-on assistance with all necessary policy, procedure and template updates, and we do not charge separately for the provision of a DIY ‘toolkit’.

Since our services are specifically aimed at alternative investment managers, and in this case ‘Core Regime’ SMCR firms, our offering is also more streamlined and cost effective for small and medium size firms, rather than being geared (and priced) towards the largest financial institutions.

Please contact Nick Thomas, Greyline’s Head of U.K. Regulatory, at nthomas@greyline.co for more information.

 

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Darren Mooney

Partner and Co-Head of Business Development

Darren Mooney is a Partner and the Co-Head of Business Development at Greyline. Before joining Greyline, Darren served as deputy chief compliance officer of Partner Fund Management where he held primary responsibility for the compliance program of the second-largest hedge fund in the Bay Area. Prior to that, Darren spent five years providing compliance consulting services at Cordium and then ACA Compliance Group, where he led the company’s San Francisco office and west coast operations. In addition to providing ongoing consulting services to a variety of investment managers, including hedge fund, private equity, venture capital, real estate, quantitative and other wealth managers, Darren also regularly guided clients through the SEC registration process, implemented tailored compliance programs, supported clients’ live SEC exams, and served as an SEC-mandated independent compliance consultant following an SEC enforcement action. Darren’s other experience includes serving as deputy chief compliance officer and associate counsel at F-Squared Investments where he directly supported the compliance program during the investigation and subsequent enforcement regarding historical advertising practices. Darren has a B.S. in Economics from the University of Delaware and a J.D. from Suffolk University Law School. He is a member of the Massachusetts bar.

Annie Kong

Partner and Head of Venture Capital
Annie Kong is a Partner and Head of the Venture Capital Division at Greyline. She provides ongoing compliance consulting to investment advisers and manages client relationships. Prior to joining Greyline, Annie was part of compliance and operations at a long-only manager-of-managers that advised pension fund clients. While there, she conducted compliance and operational due diligence on SEC-registered investment advisers on the platform. She also oversaw and counseled on various legal matters across the firm. Annie has a B.A. in Economics from the University of California, San Diego, and a J.D. from the University of San Diego School of Law. She is an active member of the State Bar of California.
Greyline is pleased to announce that we are the recipient of the 2021 HFM U.S. Service Award in the Best Technology Firm – Newcomer category.