michael.pendergrass
Acronym
La Meer Inc.
Product ID
GRACE
Description
GRACE Compliance and Conduct Risk solution provides easy approach to establishing culture of compliance and manage oversight as per FINRA, SEC rules.
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Details
- Establish and managing compliance and conduct within the organization
- Help Employees Report their obligations
- Provide Online Approval for requests
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Details
- Establish Policies and Procedures, Code of Ethics, Attestations and Training and provide online functions for related individuals to attest and be trained
- Provide online forms for requesting pre-trade and private placement approvals and help staff report their gifts, political contributions,outside activities, filings and personal trades to be approved / rejected by compliance officers
- Set up Periodic Monitoring for various checks and assign them to respective staff to ensure compliance with regulations and provide online reporting on tests and issues for early identification and mitigation
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Details
- Provide Online Dashboard for monitoring approvals, compliance issues, and conduct issues mitigation
- Get various status reports and analytics from the single source of truth
- Drill down to details at a click of a button. Provide information to regulators for proof of compliance
Features
GRACE Compliance and Conduct Risk solution provides easy approach to establishing culture of compliance and manage oversight as per FINRA, SEC rules:
- Establish Policies and Procedures and Attestations, Training
- Help employees, reps, advisors request pre-trade, private placement approvals, report Gifts, Political Contribution, Outside Business Activities, personal trades, social media, holdings
- Establish periodic compliance monitoring testing and reporting, regulatory reviews to catch issues early
Vendors
Management Style
Schwab Products
Section
Solution