Identify, Classify, Mitigate risks across Business Lines, Products, Regulations, IT, Vendors, Locations in an integrated way to build your single source of truth for Enterprise Wide oversight with GRACE
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Establish and Manage your ESG Data and Processes to create auditable information for your TCFD, GRI, SASB and Corporate Sustainability reports
Manage ESG Governance, Risk Management, Due Diligence, Disclosures and Stewardship with web, cloud based mobile system. Climate Risk has turned Code Red and the risks of not implementing changes to achieve Net-Zero can be disastrous.
Regulatory Expectations and How GRACE Helps you.Customer Protection Regulations – Regulation Best Interest (Reg BI) , MiFID II, Client focused reforms, mandate financial organizations to manage client portfolios in the “In the Best Interest of the Client “.
Monitor your organization for compliance Anytime Anywhere with cloud based GRACE. The deluge of regulatory changes and examinations from regulators post the market crisis and the resulting regulatory fines and reputation loss have made it necessary for financial organizations to have continuous compliance monitoring process
Help your Compliance Team conduct Trade Monitoring, Not data gathering.Trade Monitoring is a big component of activities for a compliance monitoring team in asset management organizations.
Use and Implement best practices from frameworks like NIST, CMMC, PCI-DSS, ISO 90001, HIPAA COBIT and others that are right for your organization, find the gaps in your processes and remediate them so your IT risks are reduced
Help your Compliance Team manage AML better.Financial institutions are mandated by the BSA AML (Banking Security Act Anti Money Laundering Act) and the CDD Customer Due Diligence provisions to establish AML Compliance procedures.
For Organized and Continuous monitoring of Vendor Risks.Financial organizations have used outsourcing entities to bring down costs and offer efficient customer service in a lot of key processes.
Provide web based access to GRACE to collaborate to monitor effectively.Broker-dealers and their registered representatives are an important part of the chain for reaching financial products to Advisors and through them to the investors.
Conduct Operational Due Diligence across all your investments and identify risks early.Institutional Investors like Pensions, Endowments, Family Offices, Consultants and Fund of Hedge Funds look at Alternate investments,PE firms, Real estate funds and others to include different investment strategies in their portfolio to meet their returns goals.
Establish and Prove SM & CR compliance with GRACE Following the 2008 financial crisis and subsequent review of the financial services industry
Registered representatives have to focus on servicing their clients and managing their portfolios. GRACE helps the organization to stay compliant with regulatory obligations and in their client portfolios.
Training is a big component of compliance . Providing online training on various business processes and tracking who has got trained is important.
La Meer Inc.
