Category Archives: Vendor Risk Management

IT Risk ManagementRegulationsVendor Risk Management
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SEC Proposes Cybersecurity Management Rules for Investment Advisers and Funds

Complete Source of information : https://www.klgates.com/SEC-Proposes-Cybersecurity-Risk-Management-Rules-for-Investment-Advisers-and-Funds-3-9-2022. All Language quoted and attributed to the article On 9 February 2022, the U.S. Securities and Exchange Commission (the SEC) proposed new rules and amendments to existing rules (together, the Proposed Rules) addressing cybersecurity risk management under the Investment Advisers Act of 1940, as amended (the Advisers Act) and the […]...

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Anti Money LaunderingBranch and Rep ManagementCompliance ManagementIT Risk ManagementNewsReg BITrade MonitoringVendor Risk Management
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2022 Report on FINRA’s Examination and Risk Monitoring Program

FINRA issued this risk alert on Feb 9th 2022. All information here is Quoted from the FINRA’s document. Please refer to FINRA’s document in the below link for complete information https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program The 2022 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides firms with information that may help inform their compliance programs. For […]...

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admin Anti Money Laundering, Branch and Rep Management, Compliance Management, IT Risk Management, News, Reg BI, Trade Monitoring, Vendor Risk Management
AwardsVendor Risk Management
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PRESS RELEASE: La Meer Wins the A-Team Innovation Awards 2021

Executive Summary Sunnyvale CA – March 25th, 2021 Silicon Valley, CA Financial Technology firm La Meer Inc (https://www.lameerinc.com)  wins the A-Team Innovation Award 2021 for “Most Innovative Supply Chain Risk Management/ Know your Vendor Initiative” for its GRACE Vendor Risk solution. This adds to La Meer’s recognition in RegTech Analyst’s prestigious 2021 ‘REGTECH100’ list, forexcellence in […]...

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