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OCIE’s Risk Alert for Broker-dealers and Registered Advisors

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. Below are the our highlights from SEC’s OCIE Publication. La Meer’s GRACE suite of cloud […]...

Published On - August 17, 2020

admin Featured, Reg BI, Regulators, Trade Monitoring
Reg BI
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Managing Training for Regulation Best Interest with GRACE

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 operations into compliance from June 30, 2020, and SEC examination notices now going out.  In […]...

Published On - August 9, 2020

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