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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

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Continue Reading FRB and FinCEN Propose Significant Amendments to Recordkeeping and Travel Rule Regulations

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

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Continue Reading OCC Final Rule Modernizing the Community Reinvestment Act Includes New Incentives for Investing in Indian Country

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