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La Meer Inc.

La Meer Inc. is a Silicon Valley organization that offers the GRACE suite of web-based solutions

  • Operational Risk
  • Compliance Management
  • Client Compliance
  • Client Management
  • IT Risk
  • Vendor Risk
  • Operational Due Diligence

La Meer solutions are built for Financial Markets by  professionals with 150+ years of experience building technology for Finance.

Get In Touch

Phone: +1(408) 740 7205
Address: 111 W. Saint John Street, Suite 430 San Jose, CA 95113, USA
+1 (408) 740 7205
Manage Senior Management Certification Regime
Establish and Prove SM&CR compliance with GRACE

Establish Policies and Procedures

GRACE helps set up and manage the Policies and Procedures of the organization. It allows the policy and procedure management group to setup new policies, manage the changes to policies, review them among the peer group, record peer group comments and create the final version of the document, and release it to staff when complete. It keeps track of all the versions in the system

Set up and Manage Organization Structure and Roles and Responsibilities

GRACE can help set up and record the Organization Structure, the  their role and responsibility definitions and staff that are assigned on those roles.

It also helps track their attestation status of their documents of their accepting the roles and responsibilities as per the role definitions

Manage Attestation

GRACE can help set up attestation templates that are needed to signed by senior management to fulfil their roles and responsibilities.It can set up one time / periodic attestations for all the staff , send them e-mails to alert them of their requirement to attest and allow them to attest online.For new comers / change of personnel from one role to another, the system can send them the new attestation set and allow them to attest online. GRACE will send reminders to staff. It provides the books and records to show proof of attestation.

Set up Training

GRACE helps manage the Training calendar by setting up the dates on which training would be conducted, along with information on the Training organization and documents that can be shared with the staff.

GRACE can help add and manage staff that need to be included into the training.

User Groups can be created an groups of users can be assigned training courses.GRACE will send out e-mail alerts to users on the dates of training and send them reminders based on their training status

Training Course Content

GRACE Training can help organizations set up customized training course ware that can be periodically change to reflect the business and role changes and allows the staff to be trained online.

Training can be set periodically and assigned to the staff member, who can take the course online. The system will record the status of the training and reflect it on the dashboard. Training reminders will be sent automatically to staff who have not undertaken the requisite training.

Training Dashboard

The Training dashboard provides graphical view of all training sessions under progress

For each training it shows how many people have finished the training along with drill down to information about their scores and status of completion

Various reports of training undertaken by employee, by status and other parameters can be queried and reports printed as well

The Great Value You Get from Using GRACE SM&CR

Organized, Efficient Training across the organization at Low Cost

Manage every aspect of SM&CR Comprehensively and Effectively

Helps you build your Senior Management & Certification program in an  effective manner to address the regulations comprehensively

Early awareness reduces non-compliance

Online attestation for defined roles and responsibilities enables staff to be aware of their roles and ensures they can adhere to them.

Customizable content for Organizational Process

By Creating and customizing the course ware to the organization’s processes training can be delivered at all levels to ensure their roles and responsibilities are well understood

Customized Training for your particular business needs can be quickly deployed

Customization of your training to meet the business requirements can be done quickly to enable you to adapt to new regulations or business changes and deliver it to your team on a regular basis

Visibility and Transparency through Powerful Dashboard

The Dashboard view provides all status at a glance to ensure all staff activities related to SM&CR are well understood and adhered to

Establish Accountability

By making policies and procedures, roles and responsibilities, attestation and training thru a transparent process, accountability to ensure compliance can be established

Avoid Excel Based Monitoring

Manage and keep track of people and their training processes in Excel sheets can be avoided

Management reports on-line

Web based access, anytime anywhere, means no need for reports to be generated in various departments for presentation to senior management. Effort, costs, and time can be saved.

Regulatory examinations can be handled with confidence

GRACE becomes live proof of  compliance in the organization and saves an enormous amount of money in data gathering and report creation process for regulatory audits and examinations.

Organization Ownership of Data

Organizations suffer when key risk and compliance staff leaves. The information is scattered if maintained solely by individuals and are lying on disks in various forms. GRACE becomes the single central repository of documents, data and processes enabling continuity even when key people leave the organization

Culture of Compliance gets institutionalized

With a business as usual process through the enterprise, a culture of compliance becomes institutionalized across the organization.

Enormous Cost Savings

Enormous costs savings from having all the activities online

Latest News

La Meer Awarded the Luminaries Class of 2021 in the Executive Leader – Products, Programs and Services Category by Think Advisor magazine

La Meer Inc. is proud to announce ThinkAdvisor magazine has awarded us the Luminaries Class of 2021 in…

La Meer announced Winner of A-team Innovation Award 2021 for “Most Innovative Supply Chain Risk Management/ Know your Vendor Initiative”

Angela Wilbraham, CEO of the A-Team Group, who hosted the A-Team Innovation Awards 2021, commented…

SEC Division of Examinations Announces 2021 Examination Priorities

Source All content is copyrighted to SEC's article. The Securities and Exchange Commission’s Division…

FINRA Risk and Examination Alert
FINRA’s Examination and Risk Monitoring Program 2021

FINRA released its 2021 Report on FINRA’s Examination and Risk Monitoring Program on Feb 10th…

La Meer Webinar video on “Impacts of Reg BI on Advisors” in the Finlocity’s Reg BI Online Summit

La Meer Inc.  sponsored a panel discussion on Dec 10th 2020 on "Impacts of Reg…

La Meer Inc. Recognized in the 2021 RegTech100 as a Leader in Regulatory Compliance for Client Management, Compliance, Data Privacy and GRC

RegTech100 honors La Meer Inc. and its innovative GRACE cloud platform for enabling financial firms…

La Meer’s GRACE listed in Celent’s Reg BI Day 2″ Report

Celent recently published their "Reg BI Day 2" report and have included La Meer Inc.'s…

PRESS RELEASE: Silicon Valley CA based La Meer Inc. offers full solution for Regulation Best Interest compliance

Executive Summary Sunnyvale CA – July 23rd, 2020  Silicon Valley, CA based financial technology firm…

La Meer Inc. Nominated by A-Team Regtech Insight for our GRACE ESG for Corporates cloud based solution

Please vote for La Meer Inc. for our GRACE ESG for Corporates web based solution…

Kestra pays $10m to settle SEC charges over mutual fund fee conflicts

The Securities and Exchange Commission (SEC) has fined two RIAs associated with Kestra Holdings more…

Laxmi Ramanath Founder and CEO of La Meer Inc. has been nominated by Incisive Media for Women in Tech Excellence Awards 2021

La Meer is proud to announce that Laxmi Ramanath Founder and CEO of La Meer Inc. has…

SEC Takes Aggressive New Step In Enforcing Reg BI

Broker-dealers have begun receiving requests from SEC examiners asking them to justify and explain their…

SEC Issues ESG Risk Alert

The SEC's Division of Examinations’ has sent out a Risk Alert on Review of ESG…

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…

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