A Note for Newcomers

My Observations are primarily intended for the benefit of individuals who work in or invest through the financial services industry. I have learned that such an audience strongly prefers an informal approach with a touch of irreverence and humor.

Tuesday, January 25, 2011

Risk to Others - The Risk Remains

Recently I observed something that reminded me of two observations I made in a former life


·        I sincerely wish the following were not true but it is:

When someone ignores a rule, regulation or law in our business they affect the lives of other people.   

-08//14/2006

   
·        Exceptions 

Requests for exceptions should be considered in the context that they will exist.  The risk will remain long after the goal is achieved. -09/12/2006