Announcing the first AI harness for securities compliance

GreenboardGo 2.0

The first AI harness built for SEC and FINRA compliance

GreenboardGo 2.0 runs across the whole Greenboard platform, so compliance teams can ask, configure and automate any part of their program from one place, with every step written to a WORM-based, 17a-4 compliant record. It also works where teams do: in Slack, Teams, Claude and ChatGPT.

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Private fund compliance software

Private fund compliance software for managers juggling investor commitments, side letters, and personal trading.

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Private fund managers at work

Overview

Private fund compliance software from Greenboard gives private fund managers, from private equity and venture capital to real estate funds, a single AI-powered compliance operating system for archiving, marketing, trading, and employee oversight, with the audit trails to answer LP side letters, ODD questionnaires, and SEC exam requests with confidence.

  1. 01

    All-in-one compliance OS

    Retire point solutions and run archiving, marketing, trading, and employee oversight on one AI-powered platform built for advisors.

  2. 02

    Marketing compliance for private funds

    Pitch decks, investor letters, and DDQs are reviewed against the Marketing Rule before they go out, with every approval kept on the record.

  3. 03

    Comprehensive archiving

    Greenboard captures every communication, action, comment, and approval in a WORM-compliant archive you can export easily.

  4. 04

    Investor-grade oversight

    Demonstrate institutional controls with unified audit trails that satisfy LP side letters and ODD questionnaires.

  5. 05

    Seamless broker feeds

    Connect brokerage accounts instantly via CFPB 1033 APIs to eliminate manual statement uploads and streamline monitoring.

  6. 06

    Future-proof architecture

    Continuous platform updates help keep you ahead of new SEC rules, without any disruptive migrations.

What we hear from private fund compliance teams

Most are lean: a CCO working with counsel, or a CFO who doubles as CCO, keeping deal teams compliant as new funds launch and deals close.

  • Private holdings are the hard part

    Deal professionals hold fund interests, co-investments, and private placements that no brokerage feed captures. Teams need a clean way to report them and keep them current.

  • The restricted list changes with every deal

    Names go on and come off as deals start and close. Teams want to update the list quickly, have pre-clearance reflect changes right away, and log who changed what.

  • Pay-to-play can’t slip

    Political contributions by covered associates need to be checked against the limits before they’re made, not discovered after the fact.

  • Investors expect institutional controls

    Operational due diligence and side letters ask for evidence of oversight. Teams want audit trails they can hand over without assembling them.

In practice

How teams like yours use Greenboard

01

A restricted list that’s enforced everywhere

Import your list by ticker, CUSIP, or ISIN, add a name the moment a deal goes live, and set blackout periods. Pre-clearance and daily surveillance check against it automatically, and every addition and removal is logged.

02

Private investments declared up front

Employees connect brokerage accounts and declare private holdings and fund interests in the same place. Quarterly attestations carry everything forward.

03

Rules that enforce your limits automatically

Political contribution and gift requests open with your policy, and rules approve or reject them against your limits. Everything else that needs judgment gets sent to the CCO.

04

Evidence ready for investor diligence

Attestations, pre-clearance, approvals, and vendor reviews all write to one WORM-based record, so due diligence questionnaires and SEC exam requests get answers with the evidence attached.

Other firm types

FAQs

Frequently asked questions

What does compliance management for private funds include?

Personal trading, including private holdings and fund interests, a restricted list that changes with every deal, pay-to-play checks, Marketing Rule review, and communications archiving. Greenboard runs them on one platform and keeps the evidence on one record.

How can private fund managers prepare for an SEC exam?

Keep the evidence on the record as the work happens. In Greenboard, attestations, pre-clearance, approvals, and vendor reviews all write to one WORM-based record, so exam requests and due diligence questionnaires are answered with the evidence attached.

How do private funds manage their restricted list?

Import the list by ticker, CUSIP, or ISIN, add a name the moment a deal goes live, and set blackout periods. Greenboard checks pre-clearance and daily surveillance against it automatically and logs every addition and removal.

Does Greenboard work for private equity, venture capital, and real estate fund managers?

Yes. Greenboard works for private fund managers across strategies. Employees declare private holdings and fund interests in the same place they connect brokerage accounts, and quarterly attestations carry everything forward.

Built for AI-native compliance teams.

See how your program runs on one system. Implementation is measured in weeks, not quarters.