Trust Gate Capital maintains rigorous compliance standards across all operations. Our comprehensive compliance framework is built on U.S. federal banking regulations and international best practices, ensuring every transaction meets the highest standards of regulatory excellence and client protection.
In today's complex regulatory environment, compliance is not merely a requirement—it is a fundamental pillar of our business operations. Trust Gate Capital has developed a comprehensive compliance infrastructure that exceeds industry standards and regulatory expectations.
Our dedicated compliance team works continuously to ensure all activities adhere to applicable federal and state regulations, industry guidelines, and international standards. We maintain robust policies, procedures, and monitoring systems to protect both our clients and the integrity of the financial system.
Comprehensive programs designed to meet regulatory requirements and protect client interests
Our AML program is designed to detect and prevent money laundering activities through comprehensive monitoring, reporting, and employee training initiatives. We maintain a robust compliance structure that meets all requirements of the Bank Secrecy Act and related regulations.
We implement comprehensive KYC procedures to verify the identity of all clients and beneficial owners. Our verification process ensures we understand the nature of our client relationships and can identify potentially suspicious activities.
All clients and transactions are screened against OFAC sanctions lists, international sanctions programs, and politically exposed persons (PEP) databases to ensure compliance with U.S. economic sanctions requirements.
We maintain strict data privacy and security protocols to protect client information in accordance with applicable privacy laws and regulations. Our information security program includes physical, technical, and administrative safeguards.
Trust Gate Capital operates in full compliance with federal and state banking regulations, securities laws, and international financial standards. Our regulatory compliance program encompasses all aspects of our business operations.
Compliance with all applicable federal banking laws and regulations governing our operations.
Adherence to SEC regulations and FINRA rules governing investment activities and securities offerings.
Implementation of international financial standards and best practices for cross-border transactions.
Compliance with consumer protection laws ensuring fair treatment and transparent dealings with all clients.
Our experienced compliance professionals bring decades of combined expertise in banking regulations, securities law, and risk management. The team works proactively to anticipate regulatory changes and ensure our operations remain compliant.
Key responsibilities include:
We leverage advanced technology platforms to enhance our compliance capabilities and ensure consistent application of policies and procedures across all operations.
Our compliance technology infrastructure includes:
Our compliance program includes ongoing monitoring, testing, and independent audits to ensure effectiveness and identify areas for improvement.
Automated systems monitor all transactions and activities for compliance with policies and regulations.
Periodic testing and audits of compliance procedures to verify effectiveness and identify deficiencies.
Independent third-party audits provide objective assessment of our compliance infrastructure.
Trust Gate Capital engages independent third-party auditors to review our compliance programs, internal controls, and operational procedures. These audits provide objective verification that our compliance infrastructure meets regulatory requirements and industry best practices.
Our audit program includes annual comprehensive reviews of all compliance functions, as well as targeted assessments of specific areas as needed. Audit findings are promptly addressed through corrective action plans and process improvements.
We maintain transparency with regulators and provide timely responses to all regulatory inquiries and examination requests.
Our compliance team is available to address any questions about our regulatory framework and compliance procedures.