Please Note : These notes were made from the following video link from the SEC round table and are not the opinions of the writer. You should listen to the archive as shared below from the SEC site to make…
Celent recently published their "Reg BI Day 2" report and have included La Meer Inc.'s GRACE solution. The report highlights the need for a scalable, integrated architecture across calendars, emails, alerts, CRMs, product shelf governance, client risk profiling, advisor documentation…
https://www.linkedin.com/posts/la-meer-associates_empower-your-organization-to-comply-activity-6727625980141281280-9sl4 Please join us for a webinar on "Empower Your Organization to Comply" on Nov 12th 2020 at 11 am PST / 2 pm EST with the following agenda. Securities regulatory updates from Ben Marzouk Counsel at Eversheds Sutherland.The need…
The SEC Office of Compliance Inspections and Examinations (OCIE) announced on August 12th 2020 Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers, highlighting the various risks that they see, and that need to be addressed by firms.…
Training is an important aspect of Reg BI – La Meer’s GRACE platform can make sure you are covered The SEC’s latest regulation, the Regulation Best Interest (Reg BI) is now in effect, with firms having had to bring their…
The SEC’s latest regulation, the Regulation Best Interest (Reg BI) is now in effect with firms having had to bring their operations into compliance from June 30, 2020, and SEC examination notices now going out. In this short article we…
Article on La Meer' GRACE BI published by Investment News July 24, 2020 By Nicole Casperson Nearly one month since the implementation of the Securities and Exchange Commission’s Regulation Best Interest, and one Silicon Valley-based fintech is joining a list of firms deploying…
The SEC’s latest regulation, the Regulation Best Interest (Reg BI) is now in effect with firms having had to bring their operations into compliance from June 30, 2020, and SEC examination notices now going out. In this short article we…
Executive Summary Sunnyvale CA – July 23rd, 2020 Silicon Valley, CA based financial technology firm La Meer Inc (www.lameerinc.com) launches a complete solution for the SEC’s Regulation Best Interest for Wealth Management. Regulation Best Interest covers the entire broker-dealer and…
The SEC’s latest regulation, the Regulation Best Interest (Reg BI) is now in effect with firms having to bring their operations into compliance from June 30, 2020, with SEC examination notices now going out. In this short article we will…
