Branch and Rep Management

Welcome

La Meer Inc. is a Silicon Valley organization that offers the GRACE suite of web-based solutions

Operational Risk
Compliance Management
Client Compliance
Client Management
IT Risk
Vendor Risk
Operational Due Diligence

La Meer solutions are built for Financial Markets by professionals with 150+ years of experience building technology for Finance.

Get In Touch

Email: info@lameerinc.com

Phone: +1(408) 740 7205

Address: 111 W. Saint John Street, Suite 430 San Jose, CA 95113, USA

+1 (408) 740 7205 info@lameerinc.com

FINRA’s Examination and Risk Monitoring Program 2021

February 11, 2021
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Anti Money Laundering, Branch and Rep Management, Compliance Management, Intergrated Client Management, IT Risk Management, Reg BI, Regulators

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…