La Meer Inc. Nominated by A-Team Regtech Insight for our GRACE ESG for Corporates cloud based solution

Please vote for La Meer Inc. for our GRACE ESG for Corporates web based solution to help you handle all of your ESG Governance, Data Management, KRI monitoring, Supply chain monitoring and disclosures management through one holistic solution. Thanks in Advance. – The La Meer Team Thank you RegTech Insight, from A-Team Insight for recognizing […]...

Published On - July 15, 2021

admin ESG, Uncategorized

Kestra pays $10m to settle SEC charges over mutual fund fee conflicts

The Securities and Exchange Commission (SEC) has fined two RIAs associated with Kestra Holdings more than $10m to settle charges that they failed to disclose conflicts of interest that incentivized them to place client assets into expensive mutual funds when cheaper options were available. The Commission found that since at least January of 2014, a […]...

Published On - July 15, 2021

admin Regulatory Fines

TIAA to Pay $97M for Pressuring Investors Into Rollovers

TIAA-CREF Individual & Institutional Services LLC, a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), agreed Tuesday to pay the Securities and Exchange Commission $97 million in restitution to settle charges of inaccurate and misleading statements related to rollovers. TIAA was also charged with a failure to adequately disclose conflicts of interest to […]...

Published On - July 13, 2021

admin Regulators, Regulatory FinesTags: Regulatory Fines

Implement Governance, Risk and Compliance with Integrated Yet Modular GRACE

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