Gallantree Platform
Compliance, built into the operating model.
Indenture covenants, broker-dealer and RIA obligations (FINRA / SEC), Reg AB II reporting, and internal governance workflows run on the same platform as our credit operations. Evidence, not email threads.
Compliance Workflows
Purpose-built modules for every compliance obligation
Indenture Compliance
Automated checks against indenture provisions, covenant tests, OC/IC ratios, and concentration limits. Breaches surface in real time with full context for committee review.
BD / RIA Obligations
Continuous monitoring of broker-dealer and RIA obligations including FINRA Rule 3110 supervision, WSPs, SEC Marketing Rule (206(4)-1), Reg BI, Form CRS, and net-capital / financial-responsibility requirements.
Regulatory Reporting
Scheduled submissions generated from platform data — FOCUS reports, Form ADV / ADV-E, Form CRS, Reg AB II filings, blue-sky notices — with workflow approvals, supporting evidence, and delivery confirmation.
Policy Management
Central register of approved policies with review cycles, attestation workflows, and version-controlled distribution to all staff. Includes WSPs, Code of Ethics, and personal trading policies.
Registers
Incidents, breaches, complaints, conflicts of interest, political contributions (Pay-to-Play), gifts and entertainment, and decision logs maintained as board-ready registers with searchable history.
Risk & Incident Management
Structured risk identification, treatment, and escalation workflows. Incidents are logged with impact assessments, remediation plans, and lessons learned. Cybersecurity incident tracking aligned with SEC Reg S-P and Reg S-ID.
Committees & Governance
Agenda management, minutes, resolutions, and action tracking for credit, risk, best-execution, and executive committees. Everything auditable, nothing lost.
Immutable Audit Trail
Every compliance action, approval, and override captured in a WORM-compliant ledger aligned with SEA Rule 17a-4 and FINRA Rule 4511 — available to auditors, trustees, and regulators on demand.
Internal Compliance Platform
We run our own compliance platform, end to end.
Every control, policy, and attestation described on this page is managed inside a purpose-built compliance platform that we operate for ourselves. It is the same discipline we apply to our credit programs, turned inward.
Module Training
Interactive training modules
Every team member completes structured training modules covering AML / BSA / OFAC, anti-bribery (FCPA), SEC Marketing Rule and Reg BI, cybersecurity (Reg S-P / S-ID), platform operations, and structured credit fundamentals. FINRA continuing education (Regulatory Element and Firm Element) is embedded.
AI coaches guide participants through each module with real-time tips and contextual explanations. Completions are tracked, certificates are generated automatically, and renewal is enforced on a 12-month cycle.
View Training Modules20+ Modules
Compliance, technical, and platform training covering AML / BSA / OFAC, encryption, CRE-CLO / CLO / RMBS / ABS structures, and governance.
AI Coaching
Each module includes an AI coach that provides contextual guidance, adapts to your responses, and highlights areas for focus.
FINRA CE Coverage
FINRA Regulatory Element and Firm Element continuing education modules are embedded, with completion tracking synced to CRD.
Tracked and Certified
Completions generate certificates, contribute to CE / CPD records, and are enforced on annual renewal cycles.
Evidence-first compliance for structured credit
Request a walkthrough of how Gallantree operates compliance across its CLO programs and licensed activities.
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with Gallantree
Clear next steps for institutions ready to originate, structure and invest in US structured credit with confidence.