Compliance Framework
GTR maintains the highest standards of regulatory compliance across all jurisdictions where we operate, ensuring investor protection and market integrity.
100%
Regulatory Compliance
5
Jurisdictions
50+
Compliance Policies
24/7
Monitoring
Regulatory Frameworks
United States
Active
SEC Compliance
Registered Investment Advisor under the Investment Advisers Act of 1940
Key Requirements:
- Form ADV filing and updates
- Custody rule compliance
- Books and records maintenance
- Annual compliance review
European Union
Active
MiCA Regulation
Full compliance with Markets in Crypto-Assets regulation
Key Requirements:
- Crypto-asset service provider license
- Capital requirements compliance
- Operational resilience standards
- Consumer protection measures
Singapore
Active
MAS Guidelines
Adherence to Monetary Authority of Singapore digital asset guidelines
Key Requirements:
- Digital payment token service license
- AML/CFT compliance
- Technology risk management
- Fit and proper requirements
United Kingdom
Pending
FCA Regulations
Compliance with Financial Conduct Authority crypto regulations
Key Requirements:
- Cryptoasset firm registration
- Financial promotions compliance
- Consumer duty obligations
- Operational resilience
Compliance Policies
Anti-Money Laundering (AML)
Comprehensive AML program to prevent financial crimes
- Customer Due Diligence (CDD) procedures
- Enhanced Due Diligence (EDD) for high-risk clients
- Ongoing monitoring and suspicious activity reporting
- Regular AML training for all staff
Know Your Customer (KYC)
Robust identity verification and customer onboarding
- Multi-level identity verification
- Source of funds verification
- Politically Exposed Person (PEP) screening
- Ongoing customer risk assessment
Data Protection
Comprehensive data privacy and protection measures
- GDPR and CCPA compliance
- Data minimization principles
- Encryption and secure storage
- Regular privacy impact assessments
Cybersecurity
Multi-layered security framework protecting client assets
- ISO 27001 certified security management
- Regular penetration testing
- 24/7 security monitoring
- Incident response procedures
Audit and Oversight
External Audits
PricewaterhouseCoopers (PwC)
Annual financial and compliance audits
Deloitte Cyber
Quarterly cybersecurity assessments
KPMG Risk
Semi-annual risk management reviews
Regulatory Reporting
Monthly Reports
Portfolio positions and risk metrics
Quarterly Filings
Form ADV updates and compliance certifications
Annual Reviews
Comprehensive compliance program assessment
Internal Controls
Chief Compliance Officer
Independent oversight and reporting
Compliance Committee
Monthly policy review and updates
Training Programs
Ongoing staff education and certification
Compliance Inquiries
For questions about our compliance framework or to report concerns, please contact our compliance team.
Chief Compliance Officer
Sarah Chen, JD, CAMS
compliance@gtr.com
+1 (650) 555-0124
Whistleblower Hotline
Anonymous reporting available
ethics@gtr.com
+1 (800) 555-TIPS