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La Meer offers GRACE SMCR for Senior Management & Certification Regime

La Meer announced the GRACE SMCR solution that addresses the needs of Financial Conduct Authority (FCA) UK for Senior Management Certification to help organizations be in compliance with the SM&CR Requirements of managing policies and procedures, roles and responsibilities, attestation and ongoing training of its staff through its web based / tablet enabled solution....
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Regulation Best Interest (Reg BI): What to expect, and what do you need to do?

On June 5th 2019, SEC adopted the Best Interest Standard regulation Reg BI for Broker-dealer and Investment-advisory firms. The regulation requires broker-dealers to only recommend financial products that are in their customer’s best interests, and to disclose any potential conflicts of interest and financial incentives the broker-dealer may have with those products. The rule falls […]...
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La Meer Announces GRACE Client Management V 4.0 to address Reg BI requirements

La Meer announces updated GRACE for Client Management that includes the requirements of Regulation Best Interest Reg BI that got announced on June 5th. It addresses the Disclosures Obligation, Duty of Care Obligation, the Conflicts of Interest Obligation and Compliance Obligations Comprehensively to help organizations create a single source of truth for books and records […]...