Quality Healthcare At Affordable Prices
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Nam quis vestibulum est. Sed adipiscing ante a augue dapibus vestibulum. Praesent porta nec mi eu molestie.
Latest News
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…
Regulation Best Interest Day 2 and Beyond
It is finally here – June 30th is compliance day for Form CRS and Regulation Best Interest – day one! Firms have been working hard to put in place their day one solutions and distribute their Form CRS documents to…
Frequently Asked Questions on Regulation Best Interest
The staff of the Division of Trading and Markets have prepared the following responses to questions about Regulation Best Interest and expect to update from time to time our responses to additional questions. These responses represent the views of the…
OCIE’s Risk Alert for Broker-dealers and Registered Advisors
The SEC Office of Compliance Inspections and Examinations (OCIE) announced on August 12th 2020 Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers, highlighting the various risks that they see, and that need to be addressed by firms.…
Managing Training for Regulation Best Interest with GRACE
Training is an important aspect of Reg BI – La Meer’s GRACE platform can make sure you are covered The SEC’s latest regulation, the Regulation Best Interest (Reg BI) is now in effect, with firms having had to bring their…
Managing Supervision and Oversight of Associated Persons and the Organization with GRACE
The SEC’s latest regulation, the Regulation Best Interest (Reg BI) is now in effect with firms having had to bring their operations into compliance from June 30, 2020, and SEC examination notices now going out. In this short article we…
Compliance fintech tackles Reg BI
Article on La Meer' GRACE BI published by Investment News July 24, 2020 By Nicole Casperson Nearly one month since the implementation of the Securities and Exchange Commission’s Regulation Best Interest, and one Silicon Valley-based fintech is joining a list of firms deploying…
Disclosure
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Ut elit tellus, luctus nec ullamcorper mattis, pulvinar dapibus leo. Fusce eget velit dignissim, commodo erat eu, vulputate mi. Etiam nisl nulla, pretium ac lectus vel, placerat faucibus ligula. Class aptent taciti socios condimentum massa sagittis elementum.