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4 Ways to Eliminate Mortgage Servicing Pain

The mortgage industry has undergone a major shift over the last decade. Regulations on document production and organization have never been so strict. The intense dissection of records management,....

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How to Mitigate Risk During the Loan and Mortgage Process

Financial services teams are now under great scrutiny in offering mortgage and business loans to their clients. They must ensure that each piece of information within their systems is completely....

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SEC Rule 17a-4 Compliance Guide and Checklist

Why You Should Worry About Rule 17a-4

Last April we talked about how to comply with Rule 17a-4(f) under the Securities Exchange Act (SEA). But because many firms still aren't correctly fulfilling the regulation's requirements, we....

How to Comply with Rule 17a-4

In January, the Financial Industry Regulatory Authority (FINRA) released its 2017 Annual Regulatory and Examination Priorities Letter to inform firms about weaknesses in regulatory programs and....