Category Archives: Regulators

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SEC Division of Examinations Announces 2021 Examination Priorities

Source https://www.sec.gov/news/press-release/2021-39 All content is copyrighted to SEC’s article. The Securities and Exchange Commission’s Division of Examinations announced its 2021 examination priorities on March 3rd 2021. The following are some of the key areas of the Division’s 2021 examination priorities listed for Broker-dealer, Registered Investment Advisors   The Division will focus on conflicts of interest […]...

Published On - March 4, 2021

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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
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 […]...

Published On - August 17, 2020

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