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…
At La Meer Inc., one of our new year 2021 resolutions is to publish a Monthly Newsletter, where we will share news and views from the industry, regulators, experts, and our friends and partners in the industry, that could be…
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 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…
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…
https://www.finlocity.com/regbi-online Please join us for this Online Summit on "Impacts of Reg BI on Advisors" from industry veterans : Vincent Micciche CRCP GFS Chief Executive Officer LifeMark Securities Corp. Nancy Johnson Jones CRCP Head of Advisory Compliance Avantax Wealth Management Peter…
Please Note : These notes were made from the following video link from the SEC round table and are not the opinions of the writer. You should listen to the archive as shared below from the SEC site to make…
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…
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 PST / 2 pm EST with the following agenda. Securities regulatory updates from Ben Marzouk Counsel at Eversheds Sutherland.The need…
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.…
