Category Archives: Reg BI

Reg BIRegulators
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SEC Takes Aggressive New Step In Enforcing Reg BI

Broker-dealers have begun receiving requests from SEC examiners asking them to justify and explain their registered reps’ investment recommendations, a panel of attorneys and former regulators said Broker-dealers have begun receiving requests from SEC examiners asking them to justify and explain their registered reps’ investment recommendations, a panel of attorneys and former regulators said “I’d […]...

Published On - May 21, 2021

admin Reg BI, Regulators
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 […]...

Published On - February 11, 2021

admin Anti Money Laundering, Branch and Rep Management, Compliance Management, Intergrated Client Management, IT Risk Management, Reg BI, Regulators
La MeerReg BI
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La Meer Webinar video on “Impacts of Reg BI on Advisors” in the Finlocity’s Reg BI Online Summit

La Meer Inc.  sponsored a panel discussion on Dec 10th 2020 on “Impacts of Reg BI on Advisors” with deep insights on practical implementation challenges. La Meer Inc.  panel discussion on the topic “Impacts of Reg BI on Advisors” brought deep insights on practical implementation challenges from Peter Svorinic, MBA, CRCP™, IACCP®, CAMS® Senior Vice President […]...

Published On - December 7, 2020

admin La Meer, Reg BI