Category Archives: News

NewsRegulators
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SEC Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices

SEC Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices on April 26, 2023 Quoted from the alert I Introduction The Division of Examinations (EXAMS) is issuing this risk alert* to highlight the importance of establishing written policies and procedures for safeguarding customer records and information at branch offices. Many broker-dealers and […]...
La MeerNews
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La Meer to present at Morningstar Conference MICUS 2023

La Meer Inc. is happy to be chosen as among the 25 industry peers in Fintech to present at the prestigious Morningstar Conference MICUS 2023 on April 25th 2023 in Chicago, as one of the financial technology companies reshaping the rules of engagement in Wealth, Digital Finance and Asset Management. Laxmi Ramanath Founder and CEO […]...