The Power of Internal Data. The Speed of Natural Language

 

Smart enterprises are future-proofing by consolidating proprietary data into a single source of truth. By harmonizing systems and using natural language interfaces, they are moving from AI experimentation to core execution. This strategic shift drives efficiency, scale, and cost reductions, establishing data-driven AI as the primary engine for operational excellence and sustainable growth

 

As with any new technology, responsible use of AI with Human in the Loop with proper guardrails is important to make the best use of the choices the new technology offers. As firms leverage and position themselves for scale and growth, transparency with compliance is important to build trust with clients.

La Meer Inc. is an award winning Silicon Valley California US based Regtech100, WealthTech100, one of the top 100 innovative companies in the world. We have used our deep subject matter expertise in financial markets, world wide regulations, wealth management, risk management, compliance and technology expertise to build the GRACE Platform.

We serve the Banking, Broker-Dealer, Wealth Advisory, and Institutional markets by addressing their need for integrated management of clients, risk, compliance, and governance.

 

GRACE cloud-based, AI-enabled platform accessible via web, tablet, and mobile delivers a comprehensive suite of capabilities spanning Enterprise Governance, Risk, and Compliance (GRC), Cybersecurity, Data Privacy IT and Vendor Risk, Compliance and Conduct Risk, Client Management, Anti–Money Laundering, Trade Surveillance, Branch and Representative Monitoring, ESG oversight for corporates and Operational Due Diligence for investments

La Meer can help you harness the power of AI to position for  growth with efficient client management, early prevention of  operational failures that pose regulatory, reputational, legal risks and help your organization enhance customer trust and satisfaction through efficiency, transparency, accountability and robust risk management.

Make Us Your Partner for Growth . Contact Us for demo of GRACE AI for your Enterprise
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GRACE AI To Manage Clients in Wealth Management

Integrated By Design, Modular To Implement, Anytime, Anywhere Cloud based, Scalable, Secure Solutions.

Wealth Advisory organization's can help each advisor manage clients better with less time using the power of AI saving an average 5–10 hours a week, which they can use for increased and better customer interactions and services. They can provide deeper and more personalized services by uncovering data in their interactions. They can interact with clients with more knowledge on the customer in each call as well as discover opportunities for more services that can be handled with efficiency. Providing superior client experience and excellent value to the customer is the foundation of building trust with the multigeneration families that now have complex needs in financial planning and management. In the advisory business a lot of growth for your organization is built on the reputation of excellence which each of your customers can bring to you through referrals

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The GRACE Suite of Products

GRACE for Integrated Governance, Risk and Compliance Management (Enterprise GRC)

GRACE Enterprise GRC helps the organization have an integrated approach to identify and manage risks across Business Lines, Business Processes, Regulations, Departments, Locations and systems.

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GRACE for Client Management (Regulation Best Interest Reg BI)

GRACE for client management helps BDs/Registered Investment Advisors meet SEC/FINRA expectations of suitable products to meet client's risk profile, show alternates, do proper disclosures, monitor compliance and conflicts of interest.

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GRACE for Compliance and Conduct Monitoring

GRACE helps establish and monitor that compliance obligations as per SEC, FINRA, FCA regulatory expectations are met across the employees, advisors, registered representatives in a simple but effective way.

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GRACE for Anti-Money Laundering Monitoring

GRACE AML helps establish AML client life cycle management across Know Your Client, Client Due Diligence, Transaction Monitoring, Risk Profiling, Issues Management and SARs

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GRACE for Trade Surveillance

GRACE Trade Surveillance automates the process of trade aggregation from various data sources and allows automatic red-flagging to identify violations to client portfolios, product suitability, concentration conflicts, insider trading, churn for excessive fees and others.

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GRACE for Cybersecurity, Data Privacy and Business Continuity, IT Risk Management

Cybersecurity threats have become a daunting and for protection of client personally identifiable information (PII) for Data Privacy regulations GDPR, California Consumer Privacy Act (CCPA) , Privacy Laws mandate stringent security over client information.

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GRACE for Vendor / Third Party Risk Management

GRACE Vendor risk helps manage information on all third party / vendors, their locations, SLAs and conduct due diligence on their processes. Periodic / continuous.

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GRACE for Broker-dealer's Branch / Registered Representative Monitoring

GRACE helps build and manage oversight of branches and registered representatives to their adherence to regulations, identify conflicts of interest, and any risks .

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GRACE for Operational Due Diligence

Institutional investors like Pensions, Endowments, Fund of Hedge Funds and Private Wealth Management organizations can use GRACE to conduct Operational due diligence .

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GRACE for ESG Management in Corporates

Climate Risk and Environmental, social, and governance (ESG) are driving by both investor demand and regulatory scrutiny.

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GRACE for ESG Investment Due Diligence

ESG Investment Due Diligence can help institutional investors, fund and investment managers set up the ESG Governance, Risk Management .

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GRACE for Senior Management & Certification Regime

GRACE for SM&CR (Senior Management & Certification Regime) helps manage the process of recording Senior Managers obligations and monitoring

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Benefits of using the GRACE approach

The GRACE platform is Integrated By Design but Modular by Approach to allow firms to create an extensible custom product suite by choosing the right modules to address all their immediate regulatory compliance, governance, risk management and client management needs, while at the same time allowing for additional modules, users and functionality to be easily switched on through configuration, as business needs change and grow. GRACE’s affordable pay-as-you-go, yet integrated approach also helps firms build their single source of truth without additional cost of integration as well as zero-disruption as they extend the system to an enterprise scale.

Helps you Meet Regulatory Expectations Comprehensively

Comprehensive functionality for specific requirements as defined by regulators SEC, FINRA ,OCC, OCIE, CFPB, DoL Fiduciary Rule, FCA, MiFID II, GDPR from their yearly examination priorities and ongoing data monitoring expectations

Collaborate with the Eco-system and Grow at Your Pace

Deploy the modules you want, add users,departments,business lines, locations, vendors, clients and outsourced providers at your pace

Comes Pre-built with Industry Data connectors

Connectors already built with Industry sources for AML, personal trades and outside business activity information from public sources

Comes with Pre-built Forms and Workflows

Provides you with the pre-built forms and templates for reporting, attestation, and other functions. Automated workflows, alerts, audit trails help monitor and manage with ease.

Offers Specialized Functional Actionable Dashboards

Specialized dashboards with Charts,Analytics and drill downs for each user group for their day to day functions, C-level dashboards for integrated view of risk, compliance, issues, mitigation, client, advisor etc.

Customization at Low Costs

Easy to customize and add functionality, integrate, add charting, reports, queries and help end users meet their data monitoring and reporting needs from in-house data with lot less cost and make implementations much more effective and meaningful

Offers Automated Data Loads and Red-flagging by Business Rules

Automated data load and red-flagging based on business rules reducing hours of manual work to identify issues allowing the compliance team to zero in quickly on risks

Easy to Use - Low training needs

Web based / tablet, mobile enabled, Anytime, Anywhere, GRACE systems are easy to use for end-users, works similarly with new modules with least amount of training requirements and deployment challenges

Is Very Affordable with Flexible Payment Options

Pay for only the modules you use. Add users and modules as you go to enhance the user base within the organization and with clients into a unified system seamlessly

Easily Integrates with your in-house data sources

Data from source systems can be integrated with ease using API where available, batch data load and other operations to seamlessly integrate into the system.

Allows you to Choose Modules and Add as you Grow without Integration costs

Pick and choose the modules you want to implement and only pay for it. Add other modules and implement when you are ready to grow to an Enterprise wide system with comprehensive ready to go functionality at low costs.

Can be Deployed on Cloud in Hours

Implement modules within few hours on SoC2 compliant cloud infrastructure. To add modules it is just a switch turned on. Allows your users have additional modules in matter of minutes to expand functional offering

Our Consulting Services

With the rich financial market and technology expertise the La Meer team has, we offer consulting services that brings our knowledge to customers to help them with their business requirements, decisions making on various technologies approaches, and their risk and compliance implementation challenges

Business Consulting

We have subject matter expertise on financial markets, regulations, risk, compliance, governance, client management for the segments we work in – banks, broker-dealers.

Strategic Consulting

We can help you strategize your technology architecture, solutions architecture and help choose supporting vendors as well to integrate to make the big whole.

Regulatory Consulting

La Meer can offer consulting on GDPR, California Privacy Act, AML (Anti-Money Laundering) and other regulatory requirements

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We’re ready to work with you

We will be happy to do a web demo for you at your convenience. Please write to us for at info@lameerinc.com

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Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions

All information Quoted from the article https://us.eversheds-sutherland.com/NewsCommentary/Press-Releases/249220/Annual-Eversheds-Sutherland-Analysis-of-FINRA-Disciplinary-Actions-Shows-Huge-Surge-in-Financial-Sanctions?utm_source=vuture&utm_medium=email&utm_campaign=vuture-emails March 8, 2022 Eversheds Sutherland has completed its annual study of the disciplinary actions reported...