Financial Institutions and Markets (J)

This is a TIAG and TAGLaw "Joint" Specialty Group.

The TIAG Co-chairs are shown below. Click the "Group Member List" icon to view co-chairs and members from both TIAG and TAGLaw.


Click here to join the TAG Alliances Financial Institutions & Markets LinkedIn Group.

Click the link below to view Investment Markets and Key Developments over the Past Week; Major Global Economic Events and Implications; Australian Economic Events and Implications; and more.

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On April 27th, we hosted a webinar for CFOs and Controllers of independent mortgage lenders on the 2015 financial and operating results and metrics from our Richey May Select Benchmarking program. Tyler House, Advisory Manager, provided an in-depth analysis of key production metrics, gross loan margins, pre-tax earnings, and expenses. Click here to view the webinar.

Read more: CFO/Controller Webinar: 2015 Independent Mortgage Lender Metrics

Contact: Stephen Vlasak, Richey May (Colorado, USA)

Earlier this year, the SEC announced its Office of Compliance Inspections and Examinations’ (OCIE) 2016 priorities. Hedge fund and mutual fund managers, private equity firms and broker-dealers should pay particular attention to these priorities when evaluating their own compliance programs in the coming year. Specific areas in which the OCIE intends to focus their examinations include:

Read more: 2016 SEC Examination Priorities

On December 17, 2015, Richey May (Colorado, USA) hosted a webinar for CFOs and controllers of independent mortgage banking companies on the most cost-effective and value added cybersecurity processes and best practices for the mortgage industry. Our guest presenters for this webinar were Auzzie Brown and Jordan Brown, Managing Partners with RedWolf Cybersecurity. Included in the discussion were how to establish and sustain a cybersecurity program to protect your customers and your reputation; the business value of engaging in cybersecurity best practices; and the future state of regulating cybersecurity in the mortgage industry.

For more information on RedWolf Cybersecurity, please visit their website at

By: Arnie Spevack; Lerch, Early & Brewer (Maryland, USA - TAGLaw)

When a borrower requests a commercial loan for a new business or a business acquisition, lenders frequently require the borrower to secure the business loan with a mortgage on a personal residence. The residence may be taken as additional collateral, or because of the insufficiency of other business collateral to secure the loan. Using a residence as additional collateral frequently is the best way to meet a lender's collateral requirements.

Read more: Pledging a Residence to Secure a Commercial Loan