Financial Commentary

TASA ID: 322

What we are seeing now is the product of well-intentioned measures designed to (1) extend homeownership to those that previously could never realistically hope to own a home, and (2) earn a profit from a segment of the population that previously did not participate in the mortgage and homeownership markets.  The goal of extending homeownership was admirable, but in many cases, the means of achieving it spiraled out of control.

Due Diligence - Securities Applications and Regulatory Requirements

TASA ID: 388

This article is to inform and assist the individual or entity who is claiming that their securities professional and firm failed in their duty to conduct thorough, proper investigation/research, commonly known as "due diligence." Investment professionals, regulators and lawyers often inappropriately use the term due diligence, which causes confusion in both the implementation of "due diligence" work and later in the attempt to ferret out what were and were not the regulatory requirements under the rules relating to due diligence.

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