AML Policies and
Customer Identification Program

Anti-Money Laundering Policies and Customer Identification Program.

The USA PATRIOT Act of 2001 was enacted in order to prevent the use of the U.S. financial system to facilitate terrorism and other criminal activity by imposing anti-money laundering requirements on brokerage firms. GTN and its senior management are firmly committed to compliance with all applicable laws and regulations relating to combating money laundering activity. To this end, GTN has established a compliance program which includes: (1) internal policies, procedures and controls; (2) the designation of a compliance officer dedicated to oversee its antimony laundering efforts; (3) an ongoing employee training program; and (4) provisions for an independent auditor to test the implementation of the Firm’s program. As part of our compliance program, GTN is required to obtain, verify, and record information that identifies each individual or entity that opens an account. When you open an account, we will ask for your name, address, date of birth (for individuals), identification number, and other information that will allow us to identify you. We may also ask to see other identifying documents. We may also ask you to provide copies of identifying documents as necessary to enable the Firm to verify your identity. While we may be required to disclose this information pursuant to applicable laws, rules or regulations, it will otherwise be retained in confidence according to our Privacy Policy.


Based on a certain risk profile as determined by GTN, we may also ask you for additional information, including supporting documentation, about you, the purpose of your account as well as your bank accounts with which GTN interacts. Please note that GTN is required to obtain this information according to the rules of Financial Crimes Enforcement Network (FinCEN)(a bureau of the United States Department of the Treasury), Know Your Customer (KYC) rules and regulations as well as GTN’s established Customer Identification Program (CIP). This information may be requested and required to be disclosed at any time, i.e. during the establishment of the account as well as during the life of the account at GTN.


Contact Us

If you have any questions about this policy, please write, call, or email us.

4509 Creedmoor Road, Suite 201

Raleigh, NC 27612 United States


Call us: +1 332 230 1184