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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

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

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Managing Client Recommendations in line with Reg BI with GRACE

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Policy, Written Supervisory Procedures (WSPs), Attestation and Training under Regulation Best Interest with GRACE

The SEC’s latest regulation, the Regulation Best Interest is now in effect with firms having…

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