Services

Green Bar can assist you with the following:

Mutual Funds

• Interface with the Board of Directors
• Maintenance of Policies and Procedures
• Risk Reviews and Mapping
• Help preparing quarterly meetings
• Coordinate Annual Proxy Voting
• Interface with Audit Team, Legal Representation, and your Transfer Agent
• Prospectus and Annual Report Reviews
• Shareholder Communications
• SEC filings and preparing documents for submission to your EDGAR filing organization

Investment Advisors

• Maintenance of Policies and Procedures
• Risk Reviews and Mapping
• Examination Preparation
• Form ADV updates and other required filings
• Regular Office Visits
• Consultation on Books and Records
• Annual and Quarterly Certifications and Reviews of Personal Trades
• Regulatory Filings and Interaction with State Regulators to begin Investment Advisor Startup Process

Broker Dealers

• Startup and Licensing
• Form BD and State Registrations
• Annual Certifications
• Annual Meetings
• Marketing Reviews
• Maintenance of Policies and Procedures

Expert Witness Services

• Review Prospective Legal Filings
• Review Merits of Cases or Defense Strategies
• Review Client Statements
• Review Suitability
• Help determine if “Best Practices” and Firm Procedures were followed
• Provide Expert Witness Letters
• Appear at Arbitrations and/or Mediations