CFTC & NFA Support Services

Greyline offers comprehensive compliance support to registered commodity pool operators (CPOs) and commodity trading advisors (CTAs) that helps them more effectively manage their compliance programs. For more institutional clients or those who are also registered with the SEC, we build the questionnaire process into a more robust annual review of their compliance program.

We deploy a variety of tools to create automated and repeatable processes, auditable testing and provide our clients with unparalleled transparency. All of our tools include reporting suitable for internal use or production in a regulatory examination. Our services are comprehensive and tailored to each client’s individual needs, however, a typical engagement includes:

  • Electronic communications review and monitoring.
  • Implementation of enhanced supervisory procedures.
  • Code of ethics support, including monitoring of personal trading and outside business activities.
  • Annual and new ethics training.
  • Annual self-examination questionnaires.
  • Promotional material reviews.
  • Preparation of regulatory filings, including annual registration updates, annual questionnaires, CPO-PQR, CTA-PR, Form D and Blue Sky for CPOs.
  • Implementation of a compliance calendar and compliance testing plan, including completion of applicable annual self-examination questionnaires.
  • Bylaw 1101 process buildout and ongoing diligence.

For firms that are also registered as an investment advisor with the SEC or a state, we seamlessly integrate both sets of regulatory obligations into the compliance program.

insider trading

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

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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.