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La Meer Inc. is a Silicon Valley, CA based software vendor of cloud based GRACE suite of solutions. GRACE for Compliance Management helps Broker-dealers, Wealth Advisors, Alternate Investments, manage their compliance obligations through centralized policies and procedures management, online forms for staff to report their pre-trade approvals, gifts and political donations, outside business activities to the compliance office. The staff can do online attestations that compliance can ask them to do from time to time. GRACE can also help monitor personal trades of all their staff on a daily basis to prevent insider violations.
We are securities attorneys focused on helping financial advisory firms navigate the legal complexities of the RIA world. It’s stressful enough ensuring your clients are receiving the best service you can provide, let alone making sure you are keeping up with your regulatory responses and dealing with operational and human resources issues. With My RIA Lawyer, you can trust that the compliance and legal work is getting done. Along with those services, we can now offer you C-Suite services. We are your one stop solution
NorthPoint Compliance provides compliance assistance to investment advisers registered with the U.S. Securities Exchange Commission. NorthPoint understands the compliance requirements of investment advisers and how to develop, implement and maintain an effective program that will accomplish your compliance objectives. NorthPoint is different because we take the time to understand each investment adviser’s compliance needs and then tailor our services to fit the level of assistance desired by your firm. With NorthPoint, you have a partner that is dedicated and determined to help your firm meet all of its compliance objectives.
Greyline’s team of regulatory consultants provides high-touch, high-quality solutions to the investment management community, including private equity, hedge funds, venture capital, real estate, investment companies and broker-dealers. Our differentiator is our extensive experience and unique approach focusing on testing, transparent reporting, and risk mitigation. We are strategy agonistic, having worked with every type of investment objective, asset class focus and business model, which allows us to better identify conflicts and provide our clients with advice that is both tailored and effective. An understanding of basic compliance constructs is not difficult, but application can be, and our experience sets us apart.
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