Laxmi to attend FutureProof Wealth Management Festival in LA
Connect with Laxmi Ramanath at the Future Proof conference at Huntington Beach LA to hear about La Meer Inc.‘s integrated...
Read MoreThe Office of the Comptroller of Currency (OCC) issues Semi – Annual Risk Perspective Spring 2024
The OCC published their Spring 2024 SEMIANNUAL RISKPERSPECTIVE on June 18th 2024 The OCC publishes the report twice a year,...
Read MoreLa Meer Inc. to present in the Bharat Cooperative Banking Summit on May 22nd 2024 in Mumbai, India
La Meer Inc. is a proud partner in helping Risk Management in Banks in India. La Meer Inc will showcase...
Read MoreLa Meer is a WealthTech100 organization
La Meer Inc. is proud to be included again in 2024 into the WealthTech100 as one of the World’s Most...
Read MoreLa Meer’s CEO Laxmi Ramanath @Dubai Fintech Conference on May 6-7th 2024
La Meer Inc. ‘s Founder and CEO Laxmi Ramanath will be attending the Dubai Fintech Conference organized by the DIFC (Dubai Investment Financial...
Read MoreCalifornia’s Landmark Climate Accountability Package and Compliance to Disclosure of Climate-Related Risks
California’s new legislation sets the U.S. standard for climate-related disclosures and has the potential to reach every part of a...
Read More2024 FINRA Annual Regulatory Oversight Report – Reg BI and Form CRS
Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into...
Read More2024 FINRA Annual Regulatory Oversight Report – Manipulative Trading
Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into...
Read More2024 FINRA Annual Regulatory Oversight Report – Cybersecurity
Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into...
Read More2024 FINRA Annual Regulatory Oversight Report – Anti Money Laundering, Fraud and Sanctions
Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into...
Read MoreSEC’s proposed new cybersecurity risk management rules under the Investment Advisers Act of 1940 (the “Advisers Act”)
The Commission is proposing new cybersecurity risk management rules and related amendments to certain rules under the Investment Advisers Act...
Read MoreLaxmi Ramanath to discuss HOW TO CREATE A SOUND CYBERSECURITY BREACH STRATEGY
Please join the Independent Broker Dealer Consortium on a webinar on on Nov 8th 2 pm ET for a panel...
Read MoreSEC has brought 43 Charges in Sept 2023
(quoted from SEC’s https://www.sec.gov/news/pressreleases ) SEC has brought 43 charges in Sept 2023 (quoted from the release) for the various...
Read MoreSEC Division of Examinations releases Risk Alert for Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents*
SEC Division of Examinations issued a Risk Alert for Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents on Sept...
Read MoreSEC Division of Examination issues Risk Alert on AML for Broker-dealers
OBSERVATIONS FROM ANTI-MONEY LAUNDERING COMPLIANCE EXAMINATIONS OF BROKER-DEALERS Issued on July 31, 2023 https://www.sec.gov/files/risk-alert-aml-compliance-examinations-bd-073123.pdf Before discussing those specific observations, the...
Read MoreSEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies
FOR IMMEDIATE RELEASE (quoted from the SEC Press release2023-139 Washington D.C., July 26, 2023 — https://www.sec.gov/news/press-release/2023-139#:~:text=The%20new%20rules%20will%20require,material%20impact%20on%20the%20registrant. The Securities and Exchange...
Read MoreLa Meer Inc. is one of the Finalists for Think Advisor’s Luminaries 2023 Awards for Financial and Investment Innovation
La Meer Inc. is proud to be included as one of the Finalists for Think Advisor’s Luminaries 2023 Awards for...
Read MoreLaxmi Ramanath’s Interview at Morningstar conference
Check out Laxmi Ramanath CEO of La Meer and her interview at the Morningstar conference on why she built La...
Read MoreLa Meer Inc. is proud to be declared a CyberTech100 company for 2023
La Meer has been declared as a CYBERTECH 100 company for 2023 by Fintech Global – The world’s most innovative CyberTech...
Read MoreSEC Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices
SEC Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices on April 26, 2023 Quoted from the...
Read MoreLa Meer to present at Morningstar Conference MICUS 2023
La Meer Inc. is happy to be chosen as among the 25 industry peers in Fintech to present at the...
Read MoreLa Meer is a WealthTech100 company, one of the top 100 innovative companies in the world for Wealth Management Technology
La Meer Inc has been declared a winner of the Wealth100 2023 – The world’s most innovative WealthTech companies that...
Read MoreMeet Laxmi Ramanath Founder and CEO at the Global WealthTech Conference on March 21st in NY
What’s WealthTech? Its software that helps financial services firms organize their data and processes. Don’t miss Laxmi Ramanath at the Wealthtech Summit...
Read MoreGRACE Demo at Global WealthTech Conference NY on March 21st
Laxmi Ramanath to demo GRACE in Global WealthTech Conference on March 21st in New York. GRACE suite for Wealth Management...
Read MoreLa Meer shortlisted as Best ESG Technology Provider for GRACE ESG solutions
La Meer Inc. is proud to announce that we have been shortlisted as Best ESG Technology Provider with our GRACE...
Read MoreLa Meer Inc. welcomes Deborah Hill as our VP of Sales and Marketing
La Meer Inc. is happy to welcome a senior and well respected professional like Deborah Hill to join us as...
Read MoreLa Meer Inc. shortlisted as Best North America RegTech Start Up and Best Innovative Technology for Regulatory Compliance by Regtech Insight Awards USA 2022
La Meer Inc. is proud to be nominated by RegTech Insight, from A-Team Group for awards in Multiple Categories – Best North America...
Read MoreLa Meer Inc. chosen by ThinkAdvisor in the Luminaries Class of 2022 Finalists for its Products, Programs and Services
La Meer Inc. (www.lameerinc.com) is proud to be included by ThinkAdvisor as one of the Luminaries Class of 2022 Finalists...
Read MoreLa Meer Inc. nominated as Best Overall ESG Technology Provider for GRACE ESG solutions
Thank you RegTech Insight, from A-Team Group for including La Meer Inc. in the Best Overall ESG Technology provider in the 2022 ESG Insight...
Read MoreLaxmi Ramanath La Meer Inc. CEO Nominated as Finalist by WealthManagement.com
La Meer Inc. is Proud to announce that our CEO Laxmi Ramanath has been nominated as Finalist Chief Executive Officer...
Read MoreLa 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 Enterprise Risk Management at the...
Read MoreSEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures for Investors
https://www.sec.gov/news/press-release/2022-46 All language from the Press Release Washington D.C., March 21, 2022 The Securities and Exchange Commission proposed rule changes...
Read MoreOffice of Comptroller of the Currency OCC Semi-Annual Risk Perspective from the National Risk Committee
The Office of the Comptroller of the Currency (OCC) charters, regulates, and supervises national banks and federal savings associations and...
Read MoreSEC Proposes Cybersecurity Management Rules for Investment Advisers and Funds
Complete Source of information : https://www.klgates.com/SEC-Proposes-Cybersecurity-Risk-Management-Rules-for-Investment-Advisers-and-Funds-3-9-2022. All Language quoted and attributed to the article On 9 February 2022, the U.S....
Read MoreSEC Proposed Cybersecurity Rules First Quarter 2022
https://www.sec.gov/rules/proposed.shtml (Quoted from this link) Key Rules in discussion by SEC First Quarter 33-11038 Mar. 9, 2022 Cybersecurity Risk Management,...
Read MoreAnnual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions
All information Quoted from the article https://us.eversheds-sutherland.com/NewsCommentary/Press-Releases/249220/Annual-Eversheds-Sutherland-Analysis-of-FINRA-Disciplinary-Actions-Shows-Huge-Surge-in-Financial-Sanctions?utm_source=vuture&utm_medium=email&utm_campaign=vuture-emails March 8, 2022 Eversheds Sutherland has completed its annual study of the disciplinary actions reported...
Read More2022 Report on FINRA’s Examination and Risk Monitoring Program
FINRA issued this risk alert on Feb 9th 2022. All information here is Quoted from the FINRA’s document. Please refer...
Read MoreLa Meer Awarded the Luminaries Class of 2021 in the Executive Leader – Products, Programs and Services Category by Think Advisor magazine
We are particularly pleased to be recognized by these esteemed judges as an organization that makes products which are tangibly...
Read MoreOCC’s Notes on Climate Risk Initiative in Semi Annual Risk Report
https://www.occ.gov/publications-and-resources/publications/semiannual-risk-perspective/files/pub-semiannual-risk-perspective-fall-2021.pdf All information here is quoted from the article. Please refer to it from the complete article The OCC is...
Read MoreOffice 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 https://www.occ.gov/publications-and-resources/publications/semiannual-risk-perspective/files/pub-semiannual-risk-perspective-fall-2021.pdf All information quoted here is from the OCC...
Read MoreNotes from SEC Risk Alert Oct 26th 2021
https://www.sec.gov/files/exams-registered-investment-company-risk-alert.pdf SEC Risk Alert of October 26, 2021 Observations from Examinations in the Registered Investment Company Initiatives* All notes below...
Read MoreLaxmi Ramanath CEO of La Meer Inc. chosen for ThinkAdvisor’s Executive Leadership Luminaries Award
We are thrilled to recognize IncomeConductor, La Meer Inc. and NaviPlan by InvestCloud, Inc. as members of ThinkAdvisor’s Class of 2021 #TALUMINARIES awards program in the Executive...
Read MorePRMIA Webinar Deck on How to Establish the Risk Management Practice to Meet Climate Risk and ESG Goals
Please check out the presentation from the eminent speakers including Laxmi Ramanath CEO of La Meer Inc., on the PRMIA...
Read MoreLa Meer wins Go Global Frontrunner in Technology Award 2021
La Meer Inc. has been chosen as FrontRunner in Information Technology by the International Trade Council by the esteemed judges of...
Read MoreLa Meer Inc. Proud to be awarded the Luminaries 2021 recognition by ThinkAdvisor for GRACE Products and Services
La Meer Inc. Is proud to be awarded the Luminaries 2021 Award by ThinkAdvisor for GRACE Products and Services in...
Read MoreLaxmi Ramanath CEO La Meer Inc. nominated for Women in Tech Excellence Awards by IncisiveMedia
Laxmi Ramanath CEO La Meer Inc. nominated for Women in Tech Excellence Awards by IncisiveMedia for multiple categories Digital Leader...
Read MoreLaxmi Ramanath – One of the 6 CEO finalists for Year 2021 by Women in Governance, Risk and Compliance
La Meer is proud to announce that Laxmi Ramanath CEO of La Meer Inc was chosen as one of 6...
Read MoreMeet 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 Regtechs in the Global Regtech Summit...
Read MoreLaxmi 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 Risk Management of Climate Risk...
Read MoreLaxmi Ramanath speaking at the PRMIA webinar on Risk Management of Climate risk and ESG on Oct 27th 2021 PRMIA San Francisco presents
PRMIA San Francisco presents a virtual event: How to Establish the Risk Management Practice to Meet Climate Risk and ESG...
Read MoreLa 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...
Read MoreKestra 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...
Read MoreTIAA 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...
Read MoreLa 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,...
Read MoreLaxmi Ramanath Founder and CEO of La Meer Inc. has been nominated by Incisive Media for Women in Tech Excellence Awards 2021
La Meer is proud to announce that Laxmi Ramanath Founder and CEO of La Meer Inc. has been nominated by Incisive Media...
Read MoreSEC Takes Aggressive New Step In Enforcing Reg BI
Broker-dealers have begun receiving requests from SEC examiners asking them to justify and explain their registered reps’ investment recommendations, a...
Read MoreSEC Issues ESG Risk Alert
The SEC’s Division of Examinations’ has sent out a Risk Alert on Review of ESG Investing on April 9th 2021....
Read MorePRESS RELEASE: La Meer Wins the A-Team Innovation Awards 2021
Executive Summary Sunnyvale CA – March 25th, 2021 Silicon Valley, CA Financial Technology firm La Meer Inc (https://www.lameerinc.com) wins the A-Team...
Read MoreLa 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...
Read MoreEmpowering your AML monitoring with end-to-end technology matters
AML monitoring within the organization has become quite complex from the current COVID situation and possibilities of money laundering and...
Read MoreSEC 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...
Read MoreNewsletter February 2021
At La Meer Inc., one of our new year 2021 resolutions is to publish a Monthly Newsletter, where we will...
Read MoreFINRA’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...
Read MoreLa 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...
Read MoreLa 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...
Read MoreJoin us for a Webinar on Reg BI on Dec 3rd on “Impacts of Reg BI on Advisors”
https://www.finlocity.com/regbi-online Please join us for this Online Summit on “Impacts of Reg BI on Advisors” from industry veterans : Vincent...
Read MoreNotes from SEC’s Staff Roundtable Webcast on Regulation Best Interest and Form CRS on Oct 26th 2020
Please Note : These notes were made from the following video link from the SEC round table and are not...
Read MoreLa 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...
Read MoreLa Meer organizes webinar on “Empower Organization to Comply”
https://www.linkedin.com/posts/la-meer-associates_empower-your-organization-to-comply-activity-6727625980141281280-9sl4 Please join us for a webinar on “Empower Your Organization to Comply” on Nov 12th 2020 at 11 am...
Read MoreOCIE’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...
Read MoreManaging 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...
Read MoreManaging 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...
Read MoreCompliance fintech tackles Reg BI
Article on La Meer’ GRACE BI published by Investment News July 24, 2020 By Nicole Casperson Nearly one month since...
Read MoreManaging Conflicts of Interest and Disclosures Management in line with Reg BI using GRACE
The SEC’s latest regulation, the Regulation Best Interest (Reg BI) is now in effect with firms having had to bring...
Read MorePRESS 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...
Read MoreManaging Client Recommendations in line with Reg BI with GRACE
The SEC’s latest regulation, the Regulation Best Interest (Reg BI) is now in effect with firms having to bring their...
Read MorePolicy, 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 to bring their operations into...
Read MoreGRACE enables Product Governance under Regulation Best Interest
OVERVIEW The SEC’s latest regulation, the Regulation Best Interest is now in effect with firms having to bring their operations...
Read MoreGRACE for PIPEDA
GRACE For PIPEDA (Canadian Personal Information Protection and Electronic Documents Act) Canada has two federal privacy laws that are enforced...
Read MoreRegulation Best Interest Day 2 and Beyond
It is finally here – June 30th is compliance day for Form CRS and Regulation Best Interest – day one! ...
Read MoreFrequently 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...
Read MoreSEC’s Office of Compliance and Examinations Risk Alert on Exams related to Form CRS dated April 7th 2020
The Office of Compliance Inspections and Examinations (“OCIE”) isissuing this Risk Alert to provide SEC-registered broker-dealers andinvestment advisers (“firms”) with...
Read MoreLa Meer releases GRACE Data Privacy V3.0 to address California Consumer Privacy Act
La Meer announces the GRACE for Data Privacy 3.0 to address the provisions of California Consumer Privacy Act (CCPA). California,...
Read MoreLa Meer offers GRACE SMCR for Senior Management & Certification Regime
La Meer announced the GRACE SMCR solution that addresses the needs of Financial Conduct Authority (FCA) UK for Senior Management...
Read MoreRegulation Best Interest (Reg BI): What to expect, and what do you need to do?
On June 5th 2019, SEC adopted the Best Interest Standard regulation Reg BI for Broker-dealer and Investment-advisory firms. The regulation...
Read MoreLa Meer Announces GRACE Client Management V 4.0 to address Reg BI requirements
La Meer announces updated GRACE for Client Management that includes the requirements of Regulation Best Interest Reg BI that got...
Read MoreLa Meer Announces GRACE for Training Management
La Meer Inc. offers the GRACE Training Management system that now enables course contents to be created to address the...
Read MoreLa Meer Inc. has been shortlisted for Best Innovative Technology for Regulatory Compliance
La Meer Inc. has been shortlisted for the Best Innovative Technology award by Regtech Insight Awards 2019 for our GRACE...
Read MoreNYPD’s Patternizr crime analysis tool raises AI bias concerns
The NYPD has rolled out Patternizr, a machine learning algorithm that helps analysts identify crime patterns but highlights the complexity...
Read MoreUBS hit with £27.6 million penalty over massive transaction reporting fail
UBS has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports over...
Read MoreFrance fines Google nearly $57 million for first major violation of new European privacy regime
Google has been fined nearly $57 million by French regulators for violating Europe’s tough new data-privacy rules, marking the first...
Read MoreSEC Share Class Initiative Returning More Than $125 Million to Investors
Reflecting SEC’s Commitment to Retail Investors, 79 Investment Advisers Who Self-Reported Advisers Act Violations Agree to Compensate Investors Promptly, Ensure...
Read MoreLa 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...
Read MoreFINRA Fines Morgan Stanley $10 Million for AML Program and Supervisory Failures
WASHINGTON - FINRA announced today that it has fined Morgan Stanley Smith Barney LLC $10 million for anti-money laundering (AML)...
Read MoreFINRA Announces Plan to Consolidate Examination and Risk Monitoring Programs
WASHINGTON – FINRA announced today that it plans to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs...
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