GRACE Compliance and Conduct Risk

Product Description

About this Product

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

About La Meer Inc.

La Meer Inc is an award winning regulatory technology company that offers the GRACE platform of integrated yet modular solutions for Compliance and Conduct Risk, Client Management, AML, Trade Surveillance, Branch and Rep Monitoring, Outside Activity Monitoring and ESG due diligence on investments

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API integration is available through Schwab OpenView Gateway®, which is provided by Performance Technologies, Inc. (“PTI”). Single sign-on is provided by PTI. Daily data files and trading integration are available through Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC. Not all third party providers listed on this site have integration agreements with Schwab. Schwab OpenView Gateway® and Schwab OpenView MarketSquare™ are services of PTI.

References to third parties on this site (whether such parties are vendors participating in a service of PTI or independent advisors using a service of a participating vendor) are not an endorsement or recommendation of, or an opinion (favorable or unfavorable), or advice about, or a referral to any product or service of any third party. Advisors are solely responsible for evaluating, selecting, and purchasing products and services offered by third party vendors. Unless indicated otherwise, third parties are independent and not affiliated with PTI or its affiliates.

Schwab Advisor Services includes the custody, trading, and support services of Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC, and the technology products and services of PTI. PTI and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent of each other. PTI’s integration solutions integrate data about accounts custodied at CS&Co.

Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons.