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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

GRACE Integrated End-to-End Client Management for Wealth Management

GRACE Overview

Client Management staff can manage clients

  • Gather client information , Financial Info, Jurisdictions, Risk Profile and guidelines
  • Do Call Management and CRM
  • Send request for Suitability review to Compliance group
  • Customer Complaints

Easy Workflows Management

  • Requests can be sent to Compliance
  • Email Alerts to let them know
  • Easy Portal to see pending queues

GRACE for Client Management

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Compliance can conduct Suitability Review

  • Full client information

  • Risk Profile

  • Model portfolio

  • Products offered to client

  • Market research

  • Mark Suitable or Unsuitable

  • Send back to Client management team

Back office can do KYC and Account Opening

  • Client Due diligence questions
  • Verification and Supporting Documents
  • Risk Identification and risk classification
  • Adding risk level to customer profil 
  • Automated AML monitoring

Automated AML verification can be done on clients

  • For Client against Sanctions List
  • PEP verification
  • Beneficiary Ownership information
  • Adverse Media Information
  • Adding AML risk level to customer profile
  • Automated back end monitoring of clients on the high risk list
  • Funds Transfer and transactional monitoring to see patterns

Back office can do KYC and Account Opening

  • Client Due diligence questions
  • Verification and Supporting Documents
  • Risk Identification and risk classification
  • Adding risk level to customer profil 
  • Automated AML monitoring

Client Allocation and Portfolio can be monitored

  • Automated feeds from client trade data can show client portfolio and violations to defined restrictions in allocated trades
  • Analytics across trades to identify concentrations
  • Issue recording and management of trades that are in violation
  • Portfolio composition analysis
  • Holding Summary analysis

Clients can have their own Portal

Client has access to their latest

  • Portfolio
  • Holding Summary
  • Trade Reports
  • Fees and Billing
  • See Trends
  • Interact with the organization and send secure documents requested of them , record complaints

Automated Trade Monitoring for feeds from Custodians / Clearing entities

  • Automated functions to bring in trades, positions etc on an end of day basis
  • Automated verification against restriction lists that and mark up records with issues and alerts on any violations to compliance team to bring to their attention and action
  • Oversight of trading trends
  • Concentrations Monitoring
  • Red flag tracking, issue management and closure
  • Dashboard to monitor and manage, and trends
  • Ability to send restriction lists to trading systems if needed so pre-trade verification can be included

Integrated Issue Management

  • Common repository of issues
  • Issue assignment and follow up to closure
  • Email alerts to issue owners
  • Supporting documentation and notes and follow up status monitoring
  • Dashboard of issues and trends

Value Proposition

  • Web based / Mobile / Tablet enabled system can help you grow your clients and provide them the transparency and instant access through Client Portal and help your staff use information to stay connected with clients anytime, anywhere

  • Integrated CRM can help client facing staff to gather, follow up and manage client information

  • Click of a button to send requests to compliance and get their review for Suitability of products and portfolio for clients profile

  • Online Account Opening, secure document sharing, organized client due diligence and connectivity through client portal can streamline operations for seamless client experience

  • Automated AML with Dow Jones can help quicken the process for onboarding clients

  • Quick and easy dashboard for each person to manage and monitor their own activities

  • Single source of truth of information for client facing staff, compliance and client for quick steam lined operations

  • Efficiency, transparency and real time management of information creates excellent customer service

  • Easy and automated data integration to include various sources of data from trading systems, clearing systems, and in house sources to make data collection, verification and other processes streamlined and efficient

  • Regulatory exams can be faced with confidence as books and records and process of compliance very visible

  • Less time spent in data gathering and more on client management generates greater wealth for the organization

  • Clear and Committed Best interest of client process through visible transparent compliant processes make for a great organization.

GRACE features

  • An integrated streamlined approach to client management connecting front office, back office and clients in a single system from a single source of truth
  • Online way to do financial planning, sharing it with your clients , getting their approval, creating portfolio based on their requirements, and sending it for suitability review to compliance
  • Powerful integrated CRM to capture information as you interact with clients and use for reference at any time to get a complete picture of client requirements
  • Ongoing monitoring of portfolio to ensure it remains true to clients’ needs
  • Ensuring transaction monitoring through automated data gathering and automatic red flagging of trades based on restrictions and watchlists
  • Aggregated and automated trade monitoring from multiple custodian feeds
  • Graphical trend analysis to identify front running patterns
  • Online Forms for reporting and Approval Workflows
  • Streamlined KYC including automated AML and continuous AML monitoring to alert for new sanctions and violations
  • Market Disclosures review and release and sharing of market disclosure with clients online
  • Client Portfolio drift monitoring can be done anytime to ensure that organization follows clients requirements
  • Fees and Billing of clients can be monitored to avoid violations
  • Client complaints can be received online to ensure that action can be taken early
  • Useful workflows, alerts and dashboard red marks to ensure activities are undertaken on time.
  • Client Portal gives latest updates of holdings, portfolio, transactions, fees and billing and financial plan to clients on their mobile / tablet / web where ever they are for complete transparency and allows them to interact with organization’s staff at all times for great customer service.
  • Automated alerts for follow up
  • Readily available auditable data of books and records for regulatory examination

Latest News

La Meer Inc. CEO Laxmi Ramanath will be discussing Getting Started with Enterprise Risk Management with emphasis on CyberSecurity Data Privacy and Data Protection

La Meer Inc. CEO Laxmi Ramanath will be on the Panel discussing Getting Started with…

SEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures for Investors All language from the Press Release Washington D.C., March 21, 2022 The Securities and…

SEC Proposes Cybersecurity Management Rules for Investment Advisers and Funds

Complete Source of information : All Language quoted and attributed to the article On…

Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions

All information Quoted from the article March 8, 2022 Eversheds Sutherland has completed its annual study…

Meet us at the Global Regtech Summit on Oct 14th in London La Meer Inc. a Regtech100 Company will be joining the Global Financial Community and…

Laxmi Ramanath speaking at the PRMIA webinar on Risk Management of Climate risk and ESG

Laxmi Ramanath CEO of La Meer Inc. will be speaking at the PRMIA webinar on…

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…

SEC Proposed Cybersecurity Rules First Quarter 2022 (Quoted from this link) Key Rules in discussion by SEC Cybersecurity Risk Management, Strategy,…

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…

OCC’s Notes on Climate Risk Initiative in Semi Annual Risk Report All information here is quoted from the article. Please refer to it from the…

Office of Comptroller of the Currency OCC Semi-Annual Risk Perspective from the from the National Risk Committee

Key Highlights from the OCC's Risk Alert on Dec 12th 2021 All information quoted…

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