Banking and Finance

Recent Posts

A Proactive Approach to Ensure Advisors Adopt Procedures
Posted on 1 Dec 2011 by Thomas O. Gorman

The reorganization of the Division of Enforcement which spawned the re-introduction of specialty groups was, in part, designed to focus the resources of the Division and increase efficiency and effectiveness. Three recently filed cases are an example... Read More

Measuring ROI: Using the Net-Present-Value Approach (Part 2/3)
Posted on 30 May 2014 by Jon Allen

Dont miss Part 1 of the Measuring ROI series: Using the Payback Approach , by Jon Allen The goal of financial management in a company is to maximize the value of the company’s stock. Managers need ways to determine whether a project being considered... Read More

Measuring ROI: Using the Payback Approach (Part 1/3)
Posted on 6 May 2014 by Jon Allen

Dont miss Part 2 of the Measuring ROI series: Using the Net-Present-Value Approach , by Jon Allen The goal of financial management in a company is to maximize the value of the company’s stock. Managers need ways to determine whether a project... Read More

Measuring ROI: Using the Internal-Rate-of-Return Approach (Part 3/3)
Posted on 18 Jun 2014 by Jon Allen

Dont miss Part 1 of the Measuring ROI series: " Using the Payback Approach ", and Part 2: Using the Net-Present-Value Approach , all by Jon Allen The goal of financial management in any company is to maximize the value for its owners. Managers... Read More

Bitcoin Regulation - Addressing Compliance & Risk Issues for Financial Institutions [WEBINAR]
Posted on 11 Jun 2014 by Sheshunoff Team

In 2009, a talented programmer (or group of programmers) released the first virtual currency protocol, known as Bitcoin. The Bitcoin protocol, essentially a robust P2P payment system , has now spun several other virtual currencies (Litecoin, Dogecoin... Read More

Twitter Fail and Compliance
Posted on 29 Jul 2011 by Doug Cornelius

FINRA has long regulated and limited the ability of broker/dealers to communicate with the public. One of their missions is to protect the investing public from unscrupulous securities brokers. Twitter is a communications tools and any messages posted... Read More

Be Mindful of Compliance Costs
Posted on 20 Jun 2011 by Doug Cornelius

That story is title does not come from me; it's a quote from Commissioner Troy A. Paredes of the Securities and Exchange Commission. We cannot simply focus on the costs and benefits of a single rule change on a stand-alone basis. It is the totality... Read More