Category Archives: Intergrated Client Management

Anti Money LaunderingBranch and Rep ManagementCompliance ManagementIntergrated Client ManagementIT Risk ManagementReg BIRegulators
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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 […]...