Tag Archives: SEC Risk Alert

Anti Money LaunderingArtificial IntelligenceCompliance ManagementIT Risk ManagementLa MeerReg BIRegulationsVendor Risk ManagementWealth Management

La Meer presents webinar on “Build customer’s trust in rapidly changing world of AI, crypto, regulations”

La Meer Inc. organized the webinar on the important topic of “Build customer’s trust in rapidly changing world of AI, crypto, regulations” yesterday with intense discussions between Carmela Ravi, Harriet Britt and Laxmi Ramanath well moderated by Jonathan Gagnon The many topics discussed included The video recording of the webinar is available on this link […]...

Published On -

Lameerinc-admin Anti Money Laundering, Artificial Intelligence, Compliance Management, IT Risk Management, La Meer, Reg BI, Regulations, Vendor Risk Management, Wealth ManagementTags: , , , , , , ,
NewsRegulators
Blank Image

SEC 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 6th 2023. Please find the link here. All information below is quoted from the risk alert. https://www.sec.gov/files/risk-alert-ia-risk-and-requesting-documents-090623.pdf Key Highlights (quoted from the article) Each year, the Division’s publication of its annual priorities provides advisers with […]...

Published On -

Lameerinc News, RegulatorsTags: