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Establish and managing compliance and conduct within the organization
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Help Employees Report their obligations
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Provide Online Approval for requests
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Establish Policies and Procedures, Code of Ethics, Attestations and Training and provide online functions for related individuals to attest and be trained
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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
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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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Provide Online Dashboard for monitoring approvals, compliance issues, and conduct issues mitigation
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Get various status reports and analytics from the single source of truth
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Drill down to details at a click of a button. Provide information to regulators for proof of compliance
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
Product Details
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Integration Capabilities
Serving RIAs Since
Discount for Schwab Clients?
0719-93C0
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.
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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.
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