LexisNexis® Legal Newsroom
Be Mindful of Compliance Costs

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 of the regulatory infrastructure that impacts...

Twitter Fail and Compliance

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 to Twitter will need to be in compliance. ...

A Proactive Approach to Ensure Advisors Adopt Procedures

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 of the results of the reorganization and the creation...

Measuring ROI: Using the Payback Approach (Part 1/3)

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 being considered will add value to their companies...

Measuring ROI: Using the Net-Present-Value Approach (Part 2/3)

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 will add value to their companies. This is...

Bitcoin Regulation - Addressing Compliance & Risk Issues for Financial Institutions [WEBINAR]

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, etc..) and has the potential to transform existing...

Measuring ROI: Using the Internal-Rate-of-Return Approach (Part 3/3)

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 need ways to determine whether projects will...