Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

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FDIC FYI January 29, 2003	Payday Lending Some insured depository institutions have failed to properly assess and control the risks associated with their payday lending programs. The consequences of deficiencies in risk management practices for payday lending programs can be severe.
Knowledge@Wharton January 29, 2003	Lawyers and Accountants Can Expect Curbs and Compromises in New SEC Rules Recent rules adopted by the U.S. Securities and Exchange Commission to curb the kind of legal and accounting shenanigans that toppled companies like Enron and Arthur Andersen are not as strong as the SEC first indicated they might be. But do they still have enough teeth to work?
Inc. February 1, 2003 Kenneth Klee	Returns: More Reasons to Love Your Banker These days your best bet for investing your money may well be the same place you borrow it from.
Registered Rep. January 28, 2003	Weiss Study: Analyst Community Still a "Sell" Out A study of the ratings systems at 30 brokerage firms showed significant improvement in their identification of companies heading into bankruptcy. On the down side, though, a surprising number continue to recommend companies right up to the day they file for Chapter 11.
Registered Rep. January 22, 2003 Will Leitch	Busting a CAP Opponents of Salomon Smith Barney's Capital Accumulation Plan to get a day in court
Registered Rep. January 17, 2003 Rick Weinberg	Pru Tells Admin Managers To Dump Books Prudential Securities informed all of its administrative managers at the beginning of the year that if they were also producing brokers, they were no longer going to be paid commissions, according to sources.
FDIC FYI January 14, 2003	Basel and the Evolution of Capital Regulation: Moving Forward, Looking Back How much capital is enough? How bank regulators have answered this question during the post World War II period has been shaped by two contending strands of thought.
Registered Rep. January 13, 2003 Gaffen & Geracioti	Wachovia-Prudential: For Real This Time? Can you say Pru-chovia? Prudential Securities and Wachovia Securities are very close to an agreement to join forces, one that was scuttled earlier in the year, reportedly due to differences in who would control the unit.
Registered Rep. January 1, 2003 Will Leitch	A Reign of Terror Against Women The topic of sex discrimination at brokerage houses is a sensitive one in the industry. While many would like to think it's an ancient issue, sexual misconduct remains a powerful thorn in the industry's side.
Registered Rep. January 1, 2003 Will Leitch	Amex Advisors Seek Youthful Associates American Express Financial Advisors, through its 7,000 independent brokers across the country, is going on the recruiting warpath.
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