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…
