Regulatory Alerts2019-11-15
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Bulletin 2908 - November 15, 2019
The Commissioner approved the formation of GSB Mutual Holding Company and the reorganization of The Guilford Savings Bank into a stock institution, including the establishment of GSB Bancorp, Inc. and the subsequent merger. Poloniex, LLC entered a Consent Order to resolve allegations of unlicensed money transmission, paying a $10,000 civil penalty and $2,500 in back licensing fees. ETFConcepts, LLC resolved allegations of employing an unregistered investment adviser agent by paying $1,350, comprising a $1,000 administrative fine and $350 in past due registration fees.
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