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Remembering Art Cashin

The Big Picture

He was always very generous with me, allowing many of his unique works to be republished on this blog (despite the usual concerns from compliance). His insights were unique, and I always received them with gratitude. My buddy Mark Lehman had been at UBS in Switzerland for nearly his entire career. Invest as If It Won’t.

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: U.S. Treasury and the Fed fine Wells Fargo $98 mln for inadequate oversight of sanctions compliance

MarketWatch

million total — is for “unsafe or unsound practices” related to historical inadequate oversight of sanctions compliance risk at its Wells Fargo Bank N.A. The Fed’s fine of $67.8 million — included in the $97.8 The bank violated U.S. The fine marks the latest of several enforcement actions against the bank, including a $1.93

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Strategic Advisory Letter | 2015 Year-End Planning Checklist

Brown Advisory

Strategic Advisory Letter | 2015 Year-End Planning Checklist. Thu, 11/12/2015 - 11:10. As 2015 comes to a close, we remind our clients and friends of how important it is take time to review new tax rules, consider tax-saving opportunities and review investment and asset-protection plans before year’s end. Overview of 2015.

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Don’t be tricked by 8% eternal Universal Life Insurance Interest Rates!

Sara Grillo

Actuarial Guideline 49 of 2015, via the National Association of Insurance Commissioners (NAIC) sought to cap, or limit the highly unlikely, aggressive illustrations used in the sales software prior to 2015. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

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Market Commentary: Up and Down Week Leaves the S&P 500 Near Flat

Carson Wealth

In 2011 there was the US debt downgrade, and in 2015 China’s surprise devaluation of its currency. Compliance Case # 02362252_081224_C The post Market Commentary: Up and Down Week Leaves the S&P 500 Near Flat appeared first on Carson Wealth. In 1997 was saw a major Asian banking crisis. 1998 saw the Russian debt default.

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How to sniff out a lying grifter in a Form ADV

Sara Grillo

Salaske, Chief Executive Officer and Chief Compliance Officer is Firstmetric’s principal owner and is the sole Member and Manager of Firstmetric, LLC.” Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor. About Scott Salaske.

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Thinking about risk appetite and risk appetite statements

Norman Marks

I have written a lot over the years about risk appetite and the value of risk appetite statements, both here on this blog and also in my books, especially World-Class Risk Management (2015) and Risk Management in Plain English: A Guide for Executives, Enabling Success through Intelligent and Informed Risk-Taking (2018).