Office of Comptroller of the Currency OCC Semi-Annual Risk Perspective from the from the National Risk Committee

Key Highlights from the OCC's Risk Alert on Dec 12th 2021 https://www.occ.gov/publications-and-resources/publications/semiannual-risk-perspective/files/pub-semiannual-risk-perspective-fall-2021.pdf All information quoted here is from the OCC Risk Alert The Office of the Comptroller of the Currency (OCC) charters, regulates, and supervisesnational banks and federal savings associations…

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Notes from SEC Risk Alert Oct 26th 2021

https://www.sec.gov/files/exams-registered-investment-company-risk-alert.pdf SEC Risk Alert  of October 26, 2021 Observations from Examinations in the Registered Investment Company Initiatives* All notes below are quoted from the SEC Risk Alert The Division of Examinations (the “Division”) conducted a series of examinations that focused…

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Laxmi Ramanath CEO of La Meer Inc. chosen for ThinkAdvisor’s Executive Leadership Luminaries Award

We are thrilled to recognize IncomeConductor, La Meer Inc. and NaviPlan by InvestCloud, Inc. as members of ThinkAdvisor’s Class of 2021 #TALUMINARIES awards program in the Executive Leadership category. Congrats! Read the full list of winners » https://lnkd.in/eRrchs_r https://www.linkedin.com/posts/thinkadvisor_taluminaries-activity-6862023143851196416--4U9

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