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