The Appointed Representatives Regime (ARR), a well-known and important feature of the UK regulatory landscape, enables certain businesses – Appointed Representatives (ARs) – to conduct regulated activities without having to
Continue Reading Principals in the Spotlight as UK’s FCA Consults on Changes to Appointed Representatives Regime
On Oct. 23, 2020, the U.S. Department of the Treasury, Financial Crimes Enforcement Network (FinCEN) and the Board of Governors of the Federal Reserve System (FRB) (FinCEN and the FRB
On Sept. 25, 2020, the SEC issued a No-Action Letter to FINRA, in response to a previously issued Joint Statement by the SEC and FINRA. This No-Action Letter detailed how
Continue Reading SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets
On Thursday, Aug. 20 at 11 a.m. EST, join GT Shareholders Carl Fornaris and Oscar Stephens for a complimentary webinar on the status of the phaseout of LIBOR, current trends
Continue Reading Webinar – Aug. 20: LIBOR Phaseout – Preparing for the Beginning of the End
On May 20, 2020, the Office of the Comptroller of the Currency (OCC), which regulates national banks, released a Final Rule intended to strengthen and modernize the implementation of the
On June 23, 2016 the Office of the Comptroller of the Currency (OCC) hosted the Forum on Responsible Innovation in the Federal Banking System in Washington, D.C. Hundreds of industry
Continue Reading OCC Forum on Responsible Innovation
May 6, 2016, the Financial Crimes Enforcement Network of the U.S. Department of the Treasury (FinCEN) finalized regulations that will require banks, securities broker dealers, mutual funds, futures commission merchants,
Continue Reading FinCEN Finalizes Customer Due Diligence Rule
FINRA has issued a regulatory notice (RN 16-18) regarding new Rule 2273, which requires member firms, when hiring a new broker from the competition, to send an “educational communication” to
Continue Reading FINRA Announces Rule 2273, Requiring Broker’s New Firm to Send “Educational Communication” to Broker’s Customers Before Transfer of the Customer’s Assets to the New Firm
Nanette Aguirre, a shareholder in the New York City office of Greenberg Traurig, LLP, has joined the board of Florida Alternative Investment Association (FLAIA). FLAIA is a
Continue Reading Nanette Aguirre Joins Board of Florida Alternative Investment Association
As a reminder, Rule 204-1 under the Investment Advisers Act of 1940 requires that all investment advisers amend their Form ADV filing at least annually, and do so within 90
Continue Reading Leap Year Impacting Regulatory Filing Dates for Investment Advisers