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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 the Executive Leader - Products, Programs and Services Category. We are particularly pleased to be recognized by these esteemed judges as an organization that makes…
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 “There are incredible innovations in the world of capital markets data and technology. Our A-Team Innovation Awards 2021 were created to celebrate and reward those…
SEC Division of Examinations Announces 2021 Examination Priorities
Source https://www.sec.gov/news/press-release/2021-39 All content is copyrighted to SEC's article. The Securities and Exchange Commission’s Division of Examinations announced its 2021 examination priorities on March 3rd 2021. The following are some of the key areas of the Division’s 2021 examination priorities…
FINRA’s Examination and Risk Monitoring Program 2021
FINRA released its 2021 Report on FINRA’s Examination and Risk Monitoring Program on Feb 10th 2021 that sets the direction for the market for 2021. Please Note: All information here is as stated in FINRA's report. This article is only…
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 BI on Advisors" with deep insights on practical implementation challenges. La Meer Inc. panel discussion on the topic "Impacts of Reg BI on Advisors" brought…
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 manage their Client Management Regulatory obligations of Reg BI, MiFID II, CFRs, Compliance obligations as expected by FINRA, SEC, FCA as well as Data Privacy…
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 GRACE solution. The report highlights the need for a scalable, integrated architecture across calendars, emails, alerts, CRMs, product shelf governance, client risk profiling, advisor documentation…
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 (www.lameerinc.com) launches a complete solution for the SEC’s Regulation Best Interest for Wealth Management. Regulation Best Interest covers the entire broker-dealer and…
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 to help you handle all of your ESG Governance, Data Management, KRI monitoring, Supply chain monitoring and disclosures management through one holistic solution. Thanks in…
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 than $10m to settle charges that they failed to disclose conflicts of interest that incentivized them to place client assets into expensive mutual funds when…
TIAA to Pay $97M for Pressuring Investors Into Rollovers
TIAA-CREF Individual & Institutional Services LLC, a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), agreed Tuesday to pay the Securities and Exchange Commission $97 million in restitution to settle charges of inaccurate and misleading statements related to…
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