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Press ReleasesReg BIUncategorized
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PRESS RELEASE: Silicon Valley CA based La Meer Inc. offers full solution for Regulation Best Interest compliance

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 registered investment advisor market in the United States and obliges any advisor or dealer to […]...

Published On - July 25, 2020

admin Press Releases, Reg BI, Uncategorized
Reg BI
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Managing Client Recommendations in line with Reg BI with GRACE

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 focus on the requirements how to manage client recommendations in line with the Reg BI […]...

Published On - July 21, 2020

admin Reg BI
Reg BIRegulators
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Policy, Written Supervisory Procedures (WSPs), Attestation and Training under Regulation Best Interest with GRACE

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 updated their policies, procedures, and made their staff aware of the obligations regarding conflict disclosures, […]...

Published On - July 14, 2020

admin Reg BI, Regulators