Category Archives: Compliance Management

Banking Risk ManagementClimate RiskCompliance ManagementEnterprise GRCIT Risk ManagementLa MeerRegulationsTrade SurveillanceVendor Risk Management
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La Meer’s CEO Laxmi Ramanath @Dubai Fintech Conference on May 6-7th 2024

La Meer Inc. ‘s Founder and CEO Laxmi Ramanath will be attending the Dubai Fintech Conference organized by the DIFC (Dubai Investment Financial Center) on May 6th and 7th. With about 8000 C-level executives, 100+countries and 20 + Global regulators, it is looking like an exciting event. The many topics on Wealth and Risk including The Future Of […]...

Published On - April 29, 2024

Lameerinc Banking Risk Management, Climate Risk, Compliance Management, Enterprise GRC, IT Risk Management, La Meer, Regulations, Trade Surveillance, Vendor Risk Management
Anti Money LaunderingCompliance ManagementIT Risk ManagementRegulatory FinesTrade Monitoring
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Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions

All information Quoted from the article https://us.eversheds-sutherland.com/NewsCommentary/Press-Releases/249220/Annual-Eversheds-Sutherland-Analysis-of-FINRA-Disciplinary-Actions-Shows-Huge-Surge-in-Financial-Sanctions?utm_source=vuture&utm_medium=email&utm_campaign=vuture-emails March 8, 2022 Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2021. By reviewing FINRA’s monthly disciplinary reports, press releases and online database, Eversheds Sutherland (US) Partners Brian L. Rubin and Adam C. Pollet found that in 2021 the amount of fines […]...

Published On - March 8, 2022

admin Anti Money Laundering, Compliance Management, IT Risk Management, Regulatory Fines, Trade Monitoring
Anti Money LaunderingBranch and Rep ManagementCompliance ManagementIT Risk ManagementNewsReg BITrade MonitoringVendor Risk Management
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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

admin Anti Money Laundering, Branch and Rep Management, Compliance Management, IT Risk Management, News, Reg BI, Trade Monitoring, Vendor Risk Management