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SEC’s Office of Compliance and Examinations Risk Alert on Exams related to Form CRS dated April 7th 2020

The Office of Compliance Inspections and Examinations (“OCIE”) isissuing this Risk Alert to provide SEC-registered broker-dealers andinvestment advisers (“firms”) with information about the scope and contentof initial examinations after the compliance date for Form CRS. Form CRS and its related rules (“Form CRS”) require firms to deliver to retail investors a brief customer or client […]...
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La Meer releases GRACE Data Privacy V3.0 to address California Consumer Privacy Act

La Meer announces the GRACE for Data Privacy 3.0 to address the provisions of California Consumer Privacy Act (CCPA). California, a prologue to the 2018 bill explains, “is one of the world’s leaders in the development of new technologies and related industries. Yet the proliferation of personal information has limited Californians’ ability to properly protect […]...
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La Meer offers GRACE SMCR for Senior Management & Certification Regime

La Meer announced the GRACE SMCR solution that addresses the needs of Financial Conduct Authority (FCA) UK for Senior Management Certification to help organizations be in compliance with the SM&CR Requirements of managing policies and procedures, roles and responsibilities, attestation and ongoing training of its staff through its web based / tablet enabled solution....