Send RIA Compliance Questions to Greenwich Compliance

Greenwich Compliance has trained staff available to answer basic questions about registration and compliance issues faced by investment advisers, and can connect you with third-party service providers that can help advisors meet their compliance needs.

If you submit a question, Greenwich Compliance can provide a general overview of potentially applicable rules. Greenwich Compliance can also refer you to RIA Compliance Consultants, Software Providers, Law Firms, Insurance Providers and other essential vendors for your RIA business.

Please keep in mind that Greenwich Compliance cannot provide legal advice to advisors or customers of Interactive Brokers. You should consult legal counsel regarding any specific rules that may apply to you.

Tel: 202-416-2965