SEC Monitorships

Greyline has the ability to serve as an independent monitor to assess and oversee a firm’s compliance program.

Often times stemming from an SEC examination and/or enforcement action, a monitor is an independent, third-party that assesses and monitors a company’s adherence to the compliance requirements of an agreement that’s designed to reduce the risk of recurrence of the company’s misconduct.

SEC-mandated monitors exist in two forms: an independent compliance consultant and an independent compliance monitor. Greyline is qualified to accept both of these SEC monitorships.

As an SEC-imposed monitor, we can:

  • Develop a plan for initial review and continued oversight.
  • Create reporting workflows for both the firm and the SEC.
  • Conduct SEC-mandated reviews, and prepare written documentation in accordance with applicable timelines.
  • Recommend concrete and actionable solutions to address compliance program deficiencies and weaknesses.
  • Assist with the implementation of any required program enhancements, and provide ongoing monitorship.
insider trading

Learn more about how we support financial services firms' global regulatory, operational and governance needs.

Contact Us

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.