Category Archives: Trade Surveillance

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La Meer’s CEO Laxmi Ramanath @Dubai Fintech Conference on May 6-7th 2024

La Meer Inc. ‘s Founder and CEO Laxmi Ramanath will be attending the Dubai Fintech Conference organized by the DIFC (Dubai Investment Financial Center) on May 6th and 7th. With about 8000 C-level executives, 100+countries and 20 + Global regulators, it is looking like an exciting event. The many topics on Wealth and Risk including The Future Of […]...

Published On - April 29, 2024

Lameerinc Banking Risk Management, Climate Risk, Compliance Management, Enterprise GRC, IT Risk Management, La Meer, Regulations, Trade Surveillance, Vendor Risk Management
RegulatorsTrade Surveillance

2024 FINRA Annual Regulatory Oversight Report – Manipulative Trading

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 here […]...

Published On - January 12, 2024

Lameerinc Regulators, Trade Surveillance