2022 Report on FINRA’s Examination and Risk Monitoring Program

FINRA issued this risk alert on Feb 9th 2022. All information here is Quoted from the FINRA’s document. Please refer to FINRA’s document in the below link for complete information https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program The 2022 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides firms with information that may help inform their compliance programs. For […]...

Published On - February 10, 2022

Empowering your AML monitoring with end-to-end technology matters

AML monitoring within the organization has become quite complex from the current COVID situation and possibilities of money laundering and changes in regulations and reporting requirements. The current pandemic has increased the possibility of increased money laundering. At the same time the staff’s ability to comprehensively monitor AML has been put to test. This has […]...

Published On - March 4, 2021

admin Anti Money Laundering

FINRA’s Examination and Risk Monitoring Program 2021

FINRA released its 2021 Report on FINRA’s Examination and Risk Monitoring Program on Feb 10th 2021 that sets the direction for the market for 2021. Please Note: All information here is as stated in FINRA’s report. This article is only intended to covers the areas where La Meer offers solutions, and is not the complete […]...

Published On - February 11, 2021

admin Anti Money Laundering, Branch and Rep Management, Compliance Management, Intergrated Client Management, IT Risk Management, Reg BI, Regulators

Implement Governance, Risk and Compliance with Integrated Yet Modular GRACE

GRACE ESG for Corporates

Manage ESG Investments in your Portfolio with GRACE

Regulation Best Interest ( Reg BI )

Establish your Culture of Compliance

GRACE Trade Monitoring Modules

Address Cybersecurity, Data Privacy, Business Continuity, IT and Vendor Risks in a Unified way with GRACE

Automated AML Monitoring with GRACE

GRACE for Vendor Management

Monitor Branches and Registered Representatives comprehensively with GRACE

Organized Operational Due Diligence with GRACE

Manage Senior Management Certification Regime

GRACE make being Compliant easy for RIAs

Manage your Training obligations