Category Archives: Reg BI

Anti Money LaunderingArtificial IntelligenceCompliance ManagementIT Risk ManagementLa MeerReg BIRegulationsVendor Risk ManagementWealth Management

La Meer presents webinar on “Build customer’s trust in rapidly changing world of AI, crypto, regulations”

La Meer Inc. organized the webinar on the important topic of “Build customer’s trust in rapidly changing world of AI, crypto, regulations” yesterday with intense discussions between Carmela Ravi, Harriet Britt and Laxmi Ramanath well moderated by Jonathan Gagnon The many topics discussed included The video recording of the webinar is available on this link […]...

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Lameerinc-admin Anti Money Laundering, Artificial Intelligence, Compliance Management, IT Risk Management, La Meer, Reg BI, Regulations, Vendor Risk Management, Wealth ManagementTags: , , , , , , ,
Reg BIRegulators

2024 FINRA Annual Regulatory Oversight Report – Reg BI and Form CRS

Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs (collectively, “regulatory operations programs”). The Report reflects FINRA’s commitment to providing greater transparency to member firms and the public about our regulatory activities. (All information […]...

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Lameerinc Reg BI, Regulators