Deepak Sekhri
Consulting, Executive

Deepak Sekhri

Deepak is an accomplished leader in IT Risk Management specializing in IT General Controls, IT Disaster Recovery, Business Continuity and Third-party Risk Management. His work experiences include Software Development, Process…

Vishu Krishnamurthy
Consulting, Executive

Vishu Krishnamurthy

Vishu Krishnamurthy is a Technology executive with over 30 years delivering innovative products as Vice President, Development at Oracle Data Cloud. His work spanned areas of Cloud Data Service, Enterprise…

Sidney Wigfall
Advisors

Sidney Wigfall

Sidney Wigfall is an ex SEC Lawyer who is the Founder Managing Partner $ Consultant - Counsel of SCA Group, SCA Compliance and Counsel Group. Sidney specializes in (a) Investment…

Harriet Britt
Advisors

Harriet Britt

A securities compliance professional with more than thirty years of progressive experience in compliance at firms providing asset management services, investment banking, institutional trading, institutional sales, research and retail/private client…

Dr. Bob Mark
Advisors

Dr. Bob Mark

Dr. Robert M. Mark is the Founding Partner and Chief Executive Officer of Black Diamond Risk which provides corporate governance, risk management consulting, risk software tools and transaction services. Dr.…

Laxmi Ramanath
Executive

Laxmi Ramanath

Laxmi Ramanath is the Founder and CEO of La Meer Inc.  Laxmi created La Meer Inc. in 2010 to help organizations address the profound regulatory changes after the Financial crisis…

Srini Venkatesan
Executive

Srini Venkatesan

Srini has over 25 years of experience in high technology in Silicon Valley and has co-founded 3 companies, including Intellimatch the first on-line HR portal for large corporations. With his…

Matt Elton
Executive

Matt Elton

Matt is responsible for identifying and positioning La Meer in new markets - actively driving the growth of La Meer in Canada, the UK and in Central Europe.  Matt brings more…

Anjan Rao
Marketing

Anjan Rao

Anjan is the Director of Business Development for East Coast for La Meer's products and services in risk management, regulatory compliance and technology. Anjan has 19 years of professional experience…

Girish Gurnani
Technology

Girish Gurnani

Girish has over 15 years of experience in providing IT solutions in a corporate and academic research environment. He was the Assistant Director, Informatics – Application Development & Integration at…

Bharat Pathiavadi
Marketing, Technology

Bharat Pathiavadi

Bharat Pathiavadi has expertise in  multiple areas of  Org Strategy & People, Product Leadership, Product Development, Product Marketing, Product Strategy & Innovation, Governance, End-to-end product life cycle management, Omni/Multi-channel Digital,…

Neeraj Churi
Executive

Neeraj Churi

Neeraj Churi has 20+ years of experience in FinTech and RegTech spearheading large-scale and high-profile initiatives that facilitate major business growth, operational efficiency and risk management initiatives within Tier I…

SEC 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. Securities and Exchange Commission (the SEC) proposed new rules and amendments to existing rules (together, the Proposed Rules) addressing cybersecurity risk…

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Annual 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 by the Financial Industry Regulatory Authority (FINRA) in 2021. By reviewing FINRA’s monthly disciplinary reports, press releases and online database,…

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SEC Proposed Cybersecurity Rules First Quarter 2022

https://www.sec.gov/rules/proposed.shtml (Quoted from this link) Key Rules in discussion by SEC Cybersecurity Risk Management, Strategy, Governance, and Incident DisclosureCybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies First Quarter33-11038Mar. 9, 2022Cybersecurity Risk Management, Strategy, Governance, and…

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2022 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 to FINRA's document in the below link for complete information https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program The 2022 Report on FINRA’s Examination and Risk Monitoring…

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Office 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 Risk Alert The Office of the Comptroller of the Currency (OCC) charters, regulates, and supervisesnational banks and federal savings associations…

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Notes 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 are quoted from the SEC Risk Alert The Division of Examinations (the “Division”) conducted a series of examinations that focused…

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Laxmi 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 Leadership category. Congrats! Read the full list of winners » https://lnkd.in/eRrchs_r https://www.linkedin.com/posts/thinkadvisor_taluminaries-activity-6862023143851196416--4U9

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