Oyster Consulting
Oyster Stew - A Broth of Financial Services Commentary and InsightsEpisodes
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Oyster Consulting experts Casey Dougherty, Dan Garrett and Bryan Jacobsen discuss FINRA’s exploration of AI, supervisory obligations with regard to outsourcing AI technology to firms, and best practices for maintaining compliance and protectin
The wealth management industry is shifting towards more data-driven, personalized and secure services. In this week’s Oyster Stew podcast, Oyster experts discuss the industry’s relationship with AI today, the role of Artificial Intelligence i
In today's episode of the Oyster Stew podcast, Oyster experts Len Derus and Tim Buckler delve into a crucial topic: Regulatory expectations and observations regarding cyber risk management. Learn more about the responsibilities of Chief Compli
Our experts and special guest Susan Light, Partner and Co-chair of Broker Dealer Regulation at Katten Muchin Rosenman LLP, explore the new SEC rules expanding the number of firms required to register with a self-regulatory organization. They
Oyster's seasoned professionals will share their experience, providing invaluable insights into FINRA's AML priorities. From customer due diligence to transaction monitoring, they'll guide you through the key considerations identified by FINRA
In this week's Oyster Stew Podcast, our Strategic Planning and Execution experts, Pete Bowman, Pete McAteer, Jay Donlin, Jeff Wilk, and Jeff Gearhart share their perspectives on the four critical areas that are transforming the clearing and cu
A lot has happened in the last year when it comes to compliance in the financial services industry. Today our consultants share their perspectives and what we heard from our clients about the following areas of regulatory focus, including DOL
When regulatory remediation is required and your firm is working under consent orders, it is important for financial services firms to have a plan to efficiently execute the process to avoid excess disruption, manage risk and reputational damag
A necessary part of any financial services firm’s business is handling disputes that arise. Whether it's a complaint from a customer, litigation, regulatory inquiries and investigations, firms need to have a well-thought-out process for handli
Each year the SEC publishes its exam priorities for the coming year. Join us for today’s podcast as Oyster Consulting’s Capital Markets experts Jeff Gearhart, Frank Childress and Jose Fernandez share their thoughts on the priorities related to
Join us for Part 2 of our discussion with Mark Hendrickson from D.A. Davidson Companies about where CAT and CAIS reporting stands today, the pain points firms are facing and what they should be doing to manage the current and upcoming reporting
FINRA’s Consolidated Audit Trail, or CAT, continues to evolve from account-centric trade reporting requirements to now including customer-centric CAIS reporting. Today's podcast guest is Mark Hendrickson, Head of Trading and Streetside Operatio
Many introducing broker-dealers are moving to affiliate with another broker-dealer. Join Oyster Managing Directors Pete Bowman and Dave Williams as they discuss what affiliation means for broker-dealers, what is driving firms to the strategy,
Oyster’s Capital Markets experts were recently featured on the Bond Dealer Association’s podcast, “Bonding Time,” discussing issues affecting the U.S. fixed income markets. The podcast, hosted by Michael Decker of BDA, covers:Fair Pricing for
Regulatory exams and sweeps are enough to keep any CCO up at night. In today’s podcast, Ed Wegener and Len Derus, both former FINRA regulators, walk through what helps inform regulator decisions about what to look for in an exam, how regulators
In order to become a registered broker-dealer, you must be registered with FINRA. Applying for this membership is an extensive process with multiple steps. We receive many, many questions about submitting a New Member Application (NMA) with FI
CEOs of broker-dealers are faced with the continuous pressure to innovate and increase profits. If these aren't happening, there is also pressure to sell. Successful broker dealers know that understanding how to navigate the demand for innovat
Platform technology, regulatory pressure, mergers and acquisitions are all driving financial services firms to re-evaluate their business models. In today’s podcast, Pete Bowman, Managing Director of Oyster’s Strategic Planning and Execution t
In December 2022 the SEC offered 4 market structure proposals. The proposal to modernize Rule 605 was met with broad-based industry support. Oyster Consultant Frank Childress and guest Ted Karn, founder of The Karn Group, walk through what mod
The investing population has grown and so has their wealth. This is good for their finances, but also creates more opportunities for fraud and abuse. Bob Mooney, General Counsel of Oyster Consulting, and Ron Long, Principal of Long Life Consul
In today’s podcast, DOL PTE 2020-02 experts Fred Reish, David Porteous and Joan Neri from the law firm of Faegre Drinker Biddle & Reath will be discussing the current state of the industry’s implementation, how different firms are approaching t
In February, a US District Court judge challenged the DOL’s FAQs around the fiduciary investment advice definition to rollover recommendations. In today's episode, Part 2 of 2 discussing DOL PTE 2020-02, experts Fred Reish, David Porteous and J
In today’s episode of Oyster Stew, our seasoned outsourced CCOs walk you through things to consider when deciding to outsource your CCO role, from the expertise and expanded resources an outsourced CCO brings, to common mistakes inexperienced C
The landscape for digital assets, cryptocurrencies and blockchain projects has become extremely complex. Regulators, developers and exchanges are struggling to provide clarity and guardrails without limiting innovation and profitability. Today,
In part 3 of our Digital Assets mini-series, Steve Gannon and Ed Wegener continue their discussion on the crypto landscape, the regulatory fallout around the determination of what constitutes a security, and the SEC’s actions. Oyster Consulting
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