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…
The SEC’s latest regulation, the Regulation Best Interest is now in effect with firms having to bring their operations into compliance from June 30, 2020. SEC examination notices are now going out – there is an expectation that firms have…
OVERVIEW The SEC’s latest regulation, the Regulation Best Interest is now in effect with firms having to bring their operations into compliance from June 30, 2020. We know firms have worked hard to put in place solutions for the most…
GRACE For PIPEDA (Canadian Personal Information Protection and Electronic Documents Act) Canada has two federal privacy laws that are enforced by the Office of the Privacy Commissioner of Canada: the “Privacy Act”, which covers how the federal government handles personal…
