Startup · Conduct Risk and Complaints
Greenboard
Greenboard is a compliance platform for SEC- and FINRA-regulated financial firms. It covers archiving, supervision and related workflows, with AI features and compliance experts behind it. Based in New York.
What it does
Archiving, supervision, SEC and FINRA compliance workflows
Named customers
TIFF Investment ManagementRoot FinancialJMG Financial GroupFinancial Strategies Group / ICA
Rules covered
SEC/FINRA books and records, SEA Rule 17a-4SEC Marketing Rule reviewTrade compliance / pre-clearance and Code of EthicsRegulatory filings
Why it matters
Greenboard's customers include TIFF Investment Management, Root Financial and JMG Financial Group. It covers communications archiving under SEA Rule 17a-4, SEC Marketing Rule review, trade pre-clearance and Form U4 and ADV Part 2B filings.
