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La Meer Inc. is a Silicon Valley CA based organization that offers the GRACE Suite of web based solutions for Operational Risk, Compliance Management, Client Compliance, Client Management, IT Risk, Vendor Risk and Operational due diligence.

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Phone: +1(408) 740 7205
Address: 111 W. Saint John Street, Suite 430 San Jose, CA 95113, USA

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Manage Compliance with GRACE
Build your Culture of Compliance with web based integrated system Anytime Anywhere monitoring
Non-Compliance Not A Choice

Non-Compliance Not a Choice

The deluge of regulatory changes and examinations from regulators post the market crisis and the resulting regulatory fines and reputation loss have made it necessary for financial organizations to have continuous compliance monitoring process to identify violations are caught early and take corrective action as well as produce proof of monitoring.

More regulations means the number of compliance checks and verifications needed to be done are high. Compliance officers and groups can no longer work manually or with Excel sheets alone and need proper tools to identify issues as they arise. Even regulators are red-flagging organizations that do not provide their compliance staff with tools as weak on compliance.

Regulators are coming armed with data about your organization. and the scrutiny is quite deep. This means that you have to have your data on regulatory compliance readily available at all times. Your compliance management process itself is under review. Fines can get quite steep for lack of processes as well as poor oversight.

How Can You Help Your Compliance Team

How Can You help your Compliance Team

The number of processes in compliance, the regulations to follow and consequently the number of compliance checks and verification are so high that compliance officers can no longer work manually or with Excel sheets as their tool even though it is a cheap and easy option for your organization.

Excel sheets are prone to errors. Lack of control in changes and knowledge within them are vested with key individuals. All manual processes are prone to these issues.

An integrated web based solution that helps compliance officers make Compliance Monitoring a Business as Usual Process is worth investing in for the long term.

A visible, single source of truth, with easy to use workflows, forms, alerts integrated with automated data load, red-flagging and issue management across the organization can be a great way to implement compliance across the board, and have central books and records to meet the regulators needs.

Visible compliance also becomes a very useful marketing tool for you to provide assurance to your existing clients and grow your clientele as an Organization they can trust.

GRACE Can Empower Your Compliance Team

GRACE Can Empower your Compliance Team

GRACE Compliance Management System provides you with a collaborative tool to set up the various compliance management activities needed to be monitored by your business on a periodic basis  and ensures  monitoring and reporting issues are done through the system for escalation and remediation

Policies and Procedures set the tone for Compliance. Online attestation can ensure that the staff are aware of the latest policies and  procedures. Attestation templates with the compliance and legal language that staff can read and attest ensures awareness.

Various Forms for approval requests and online reporting for Outside Business Activities, Personal trades, Registration, U4, ADV, gifts and political donations, expenses, conflicts of interest,  pre-approval and approval / rejection work flows based on business rules make for easy management of compliance.

Managing regulatory expectations and obligations for your business lines , regulatory change impact ,  mapping of regulations to current policies and procedures, Regulatory Reviews  and findings management allows you to identify process issues and risks to be identified early.

GRACE Compliance Management Modules
Web based Anytime Anywhere Compliance Management

Keep your Written Supervisory Procedures Updated

Build a Central repository of Written Policies and Procedures through functions where you can add, update, review and release policies, procedures, manages versions, review comments and histories.

Provides you the Policies Dashboard that can be used as a ready reference of latest documents both for staff. Have a ready to go query and retrieve of the WSPs on demand for your regulatory examinations


Set up and Manage Compliance

Set up the compliance monitoring process by defining and record compliance groups and activities for the various business activities. Set up the Calendar for each of the activities, periodicity of verification and assign them to the relevant staff.

Each member of your staff will be able to use their My Portal to show them the Calendar of activities and ensures they are alerted to do the compliance verification.  Staff can record the verification done as well as the supporting documents and issues seen online for their activities.

Issues are sent for reviews and can be escalated and resolved through the system

Manage Regulations

Manage regulatory expectations and obligations for your business lines.

When regulations change, track and keep, conduct impact analysis , identify, assign and manage tasks for change management.

Map  regulations to current policies and procedures to ensure that the organizational policies and procedures comprehensively cover the regulatory requirements.

Conduct Regulatory Reviews

Setup various review checklists that are needed for managing periodic regulatory reviews and risk assessments.

Setup and manage regulatory calendars and assignments and request organizational reviews from various departments thru on-line survey like questionnaires, record the findings and identify process issues and risks.  Assign issue / risk mitigation responsibility to staff members and monitor progress of tasks for issue and risk management through online reporting.

Provide alerts on due dates, over dues and late dues in activities and tasks to ensure everyone stays on top of their tasks

Manage Staff Reporting and Approval Requests

Pre-trade requests, Gifts and political contributions, Entertainment Expenses and other such requests can be sent online using pre-defined forms. These requests would be automatically queued up for compliance to review / approve / reject based on appropriateness. Pre-defined rules and limits can also be set up to automatically approve / reject or send for compliance review. When approvals or rejection are completed by Compliance, email alert will be sent back to the requestor.

Similarly Staff can also report Online,  Outside Business Activities  Information,  Quarterly Transaction reports, Social Media accounts and other such information using forms and these can be reviewed and monitored by Compliance.  Outside Business Activity can also be received from Public sources of information

Restricted trade lists can be set up and any trades verified for violations using GRACE Trade Monitoring system. Insider trading patterns can also be discovered from  monitoring personal trades against those on the book. All this automation helps in bringing efficiency and oversight over staff and ensure compliance.

Manage Online Attestation

Attestation is a critical component of compliance. By providing forms and legal language that staff need to read and confirm, the required processes can be communicated effectively to all staff

GRACE provides the ability to set up templates with the legal language by Compliance Staff .

Attestation requests can be periodically sent to groups of staff and both attestation and related data can be gathered online. Online Attestation for documents like Code of Ethics and WSPs can be sent to staff for them to read and attest periodically

Status of attestation requests will allow the organization to stay on top of staff that is not in adherence. Attestation Dashboards can quickly provide status on attestations and ensure reminders are sent to ensure compliance.

Manage Marketing Material Review

Having a centralized copy of all Marketing Material is essential for avoiding compliance violations of sharing wrong disclosures with the customer

GRACE allows you to keep the central copy of all disclosures and have it reviewed and released by all the relevant parties to ensure correctness and completeness.

GRACE provides the review workflows and alerts, get review comments from legal, product groups, marketing groups and compliance to ensure all parties have reviewed it and their comments incorporated to arrive at the final version for release which all client facing staff use the right documents when they present them to their clients

Ensure Training

Training Calendar can be periodically set up for staff to ensure everyone is made aware and trained about compliance to the various rules and their interpretations.

Training can be conducted through Survey Model by sending questionnaires and verifying the answers.

Training Status Monitoring can be kept track using the Training dashboard.

Manage Filings

Regulatory Filings are an important aspect of the organizations

A central repository of all filing documents, reviewed by all related parties and inclusion into the filings before they are submitted is very important to avoid regulatory fines

GRACE provides the central repository of regulatory filings and the review, release management process for the organization

Manage Users

Set up Users. their User IDs and access rights using the User Administration function.

Ensure that users are disabled when they leave the organization.

My Portal

My Portal provides a list of all the actionable items that are due from you, that includes requests for action, requests for review, tasks etc. It shows you the calendar of all your activities
Leads you to action functions where each activity can be undertaken

Allows findings and other actions to be recorded on the calendar date for compliance monitoring Provides form for reporting Risk Status, task status, project status

Allows you to report your approval requests, as well as reporting forms to compliance. Allows you to have a copy of all the information that you have submitted for compliance for you to refer to them whenever you need

Allows you to take a look at Code of Ethics and Policy/Procedure docs when you need to refer to them Allows you to do your attestations on-line as well as record your training

Manage Using Dashboards

GRACE CCO offers multiple dashboard that are specialized for each area including Policy and Procedure Dashboard, Regulations Dashboard, Compliance Dashboard, Risk Assessment dashboard, Attestation Dashboard, Training Dashboard, Trade Dashboard etc

Access Rights can be turned on or off to each of the dashboards

Each dashboard will present the overall information, charts, trends, reports and queries and will allow Slice and dice & deep drill down on all information gathered and status of approval

Issues, risk and mitigation management and trends with graphics and reports will enable action to be taken

Reports can be queried for user defined criteria, printed and exported to Excel / PDF formats

The Great Value that GRACE Brings to You

Continuous and Effective Compliance Monitoring Anytime Anywhere

Visibility and Transparency to Risks

Staff and Senior Management can have a visible real time view of violation as they happen to take early corrective action

Compliance officers have Powerful tool

Compliance Officers have a tool for monitoring through approval / rejection and ensure compliance within the organization

Business as usual Process for Compliance Monitoring

Compliance Monitoring and Reporting on the action taken on the compliance process becomes a business as usual process, ensuring that issues are identified early as they happen

Review and Response Process Automated

Automated Workflows, Email alerts and My Portal queues ensure that the tasks are brought to attention so the responsible person is aware of it.

Standardized forms for all compliance requests

Online Forms set up for compliance enables staff to interact with the Compliance team for requests, reporting and approvals, making it an easy for data gathering. Auto approvals business rules can be set up to reduce workload on Compliance stop

Online Attestation ensures all are aware of the latest rules

Online Attestation ensures that the staff is made aware of the latest regulatory expectations and they sign and attest to adhere to the rules

Single Source of Truth for the Organization

Will all documents, data, reviews, audit trails, analytics and easy to use queries and reports, GRACE becomes the central repository of the Single Source of Truth for the organization for all books and records to be presented for regulatory examination

Institutionalizing of Compliance

Compliance management becomes an institutionalized process. Ownership and Responsibility is visible and accountable. This ensures activities are undertaken on time without any backlog .

Regulatory examinations can be handled with confidence

Information gathering and report creation for regulatory audits is a very costly operation for all organizations. The GRACE system becomes the proof of good compliance management in the organization and saves enormous amount of money in this data gathering and report creation process.

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

Easy to Integrate and Customize

GRACE offers easy integration with organizational source systems to enhance the functionality and extend it at low costs. This is a great benefit for end users who can bring in all the relevant data into a single system through automated process allowing them to focus on risk management and compliance instead of data gathering

Enormous Cost Savings

Enormous costs savings in unwanted labor for audits and examinations, avoid regulatory fines, legal costs, reputation risks and empowers the organization in managing risks.

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