On June 5th 2019, SEC adopted the Best Interest Standard regulation Reg BI for Broker-dealer and Investment-advisory firms. The regulation requires broker-dealers to only recommend financial products that are in their customer’s best interests, and to disclose any potential conflicts of interest and financial incentives the broker-dealer may have with those products. The rule falls […]...

La Meer announces updated GRACE for Client Management that includes the requirements of Regulation Best Interest Reg BI that got announced on June 5th. It addresses the Disclosures Obligation, Duty of Care Obligation, the Conflicts of Interest Obligation and Compliance Obligations Comprehensively to help organizations create a single source of truth for books and records […]...

La Meer Inc. offers the GRACE Training Management system that now enables course contents to be created to address the latest regulations and provide them to their staff through online training portal. GRACE Training integrates with all the GRACE products seamlessly. Policies and Procedures, Attestation and Training together form a good process for Governance in […]...