Season 2 Archives | Basswood Counsel

Part 2: Broker Dealer Compliance Deep Dive: Beyond Registration — Operations, Marketing, AI, Reg BI, and Ongoing Oversight

Compliance does not end after registration. In Part 2 of this broker-dealer compliance series, Jephte Lanthia and Erik Dolan explore the ongoing regulatory, operational, and supervisory responsibilities that broker-dealers face, from Regulation BI and advertising oversight to examinations, vendor management, and AI-assisted compliance tools.

Lyne Ramos June 24, 2026

Part 1: Broker Dealer Compliance Deep Dive: Regulatory Foundation — Registration, WSPs, Capital Requirements, and FINRA Approval

From FINRA registration and WSPs to capital requirements and supervision systems, this episode explores the foundational side of broker-dealer compliance.

Lyne Ramos June 8, 2026

Beyond Returns: Investor Confidence & Governance, A Zimbabwe Perspective

From governance structures and reporting standards to diaspora investment and institutional readiness, this conversation examines the practical realities behind attracting long-term capital.

Lyne Ramos June 3, 2026

Estate Planning Explained: The Documents, Decisions, and Conversations That Matter

Estate planning is not just about preparing documents. It is about helping families make informed decisions before difficult moments arise.

Lyne Ramos May 26, 2026

U.S. Tax Rules for Foreign Investors: U.S. Trade or Business & ECI Explained

When do foreign investors become subject to U.S. tax? This conversation explores how activities, structure, and timing determine whether income is taxed—and how to plan ahead.

Lyne Ramos May 10, 2026

U.S. Tax Sourcing Rules: How to Determine Where Income Is Taxed

U.S. Tax Sourcing Rules: How to Determine Where Income Is Taxed

Sourcing rules answer a simple but critical question: where is your income actually earned for tax purposes?

Lyne Ramos April 27, 2026

Transfer Pricing Explained: Getting It Right Across Borders

Transfer pricing is not about finding a perfect number. It is about building a defensible position grounded in data, comparability, and how your business actually operates.

Lyne Ramos April 13, 2026

Estate Planning Explained: When a Will Is Enough and When a Trust Makes Sense

Estate planning often begins with a simple question: should your plan be centered around a will or a trust? This conversation explores how the two structures differ, how probate fits into the process, and why thoughtful planning helps ensure assets transfer as intended.

Lyne Ramos March 16, 2026

The Strategic Importance of Estate Planning

Estate planning is more than drafting a will – it’s about aligning your assets, beneficiaries, and tax strategy into one cohesive plan. In this episode, Chris Klug and Gina Lee explain how thoughtful coordination and ongoing review safeguard both your wealth and your legacy.

Katie Hanley March 2, 2026

FBAR and FATCA – Filing Pitfalls, Thresholds, and Practical Tips

In Part 2 of our FBAR and FATCA series, Rudo Mugwagwa and Gina Lee move from understanding the rules to addressing where filings most often break down and how to avoid those issues.

Katie Hanley February 20, 2026

FBAR and FATCA Explained – Understanding the Differences and Overlap

This episode discusses the FBAR and FATCA frameworks, common misunderstandings, and the consequences of getting compliance wrong.

Katie Hanley February 20, 2026

Coming to America (Part 2): Key U.S. Tax Considerations

Entering the U.S. market involves far more than forming an entity- it requires thoughtful planning across incentives, compliance, and exit strategy. In this episode, Chris Klug and Gina Lee unpack the federal, state, and cross-border tax considerations non-U.S. businesses must address once U.S. operations begin.

Katie Hanley February 9, 2026