Tag Archives: Risk

FINRA Cybersecurity Report

February 12, 2015 Dear Friends, FINRA released a report on cybersecurity practices, outlining the results from its 2014 cybersecurity sweep targeting high-frequency traders, independent dealers, large investment banks, clearing firms, and online brokerages. The report identifies principles and effective practices that all firms should consider, including the importance of: Sound Cybersecurity Governance, with Strong Leadership; Cybersecurity Risk Assessments; Development, Implementation, […]

SEC Releases Risk Alert on Cybersecurity

February 3, 2015 Dear Friends, Today, the SEC released a Risk Alert outlining its findings resulting from examinations of over 100 investment advisers and broker-dealers, specific to cybersecurity governance. The majority of the firms examined: Have adopted written information security policies; Conduct periodic risk assessments on a firm-wide basis to identify cybersecurity threats; Have been the subject of a cyber-related […]

SEC Chair Announces New Initiatives

December 12, 2014 Dear Friends, SEC Chair Mary Jo White announced that the SEC staff are developing recommendations for a set of “proactive initiatives” covering three core areas:       Data Reporting Standardized Reporting for Derivatives Enhanced Data Collection on Separately Managed Accounts Reporting of Securities Lending by Funds       Transition Planning and Stress Testing Requirement for Investment Advisers to Develop […]

Identifying Hedge Fund Risk is Risky Business

We received an interesting question from one of our members earlier this week: “I was wondering if someone could give me an idea of where hedge funds are on the totem pole as far as risk with intangible investments. My guess is that they rank with growth mutual funds and are less risky than stocks but I would like a […]

Too Big To Learn

            With a bad habit of ignoring profound systemic problems, Federal Treasury officials are now securing a system that encourages the same careless risk-taking that originally got us into this mess. With this week marking the one-year anniversary since Lehman Brothers imploded, it is only appropriate to discuss the faulty system that protects and rewards failing financial institutions.             The […]

The Missing Element of Your Risk Management

We all have heard about the importance of risk management and how crucial it is to our success. However, nobody really talks about all the elements of the risk management. The most talked about risk management is market risk. Then credit risk. After that, you hear about counterparty and operational risks. As a previous risk manager, I can tell you […]

A Return To Risk

That’s Mr. Risk to You, Real-Estate Investor Whether you are looking to invest in commercial property or a new primary residence, the opportunities in the current real-estate downturn are nearly everywhere you look, even Detroit. The pressure to lock in low mortgage rates has many investors champing at the bit. Plus, the approaching December 1st deadline for obtaining the American […]

7 Keys To Making Money Consistently

One of the things that I am hearing more and more these days is that traders are not making money consistently. Do you know anyone with this challenge? Do you know them intimately? So, what can you do to make money consistently? 1. Deal with your trading as a business If you think of your trading as a hobby, then […]

How Money Spells Are Impacting Your Decision Making

Yes, spells, you heard me correctly. You may wonder in this day and age, why are we talking about spells? What are spells? In today’s culture, it is called subliminal messages or going one step further, it is your own beliefs. Spells are beliefs/thoughts/actions that we follow without really knowing why. A simple example is when you go to supermarkets. […]

10 Major Reasons Traders Fail

We hear staggering statistics that approximately 95% of traders fail in their ability to consistently profit from the markets. What are the 10 major mistakes that these traders make that cost them dearly? Having no trading plan When you don’t have a plan, you don’t have a template to follow. It becomes very costly when your emotions are high and […]