Category Archives: Featured

FeaturedLa MeerReg BIUncategorized
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La Meer’s GRACE listed in Celent’s Reg BI Day 2″ Report

Celent recently published their “Reg BI Day 2” report and have included La Meer Inc.‘s GRACE solution. The report highlights the need for a scalable, integrated architecture across calendars, emails, alerts, CRMs, product shelf governance, client risk profiling, advisor documentation of recommendations, compliance oversight, supervision and an overarching need for integrated data to achieve efficiency. […]...
FeaturedReg BIRegulatorsTrade Monitoring
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OCIE’s Risk Alert for Broker-dealers and Registered Advisors

The SEC Office of Compliance Inspections and Examinations (OCIE) announced on August 12th 2020 Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers, highlighting the various risks that they see, and that need to be addressed by firms. Below are the our highlights from SEC’s OCIE Publication. La Meer’s GRACE suite of cloud […]...