Oyster Stew - A Broth of Financial Services Commentary and Insights

Oyster Stew - A Broth of Financial Services Commentary and Insights

oysterllc.com
We try to take a look at industry news and give you the highlights for Compliance, Operations and Strategy Departments and Associates.


Risk Assessments - Keeping Your Firm Focused
Mar 25 • 23 min
This week’s episode features Oyster CEO Buddy Doyle and Polly Doyle, Managing Director of Oyster Solutions Software, discussing the importance of risk assessments, including best practices and regulatory reporting.
Why Outsourcing Your Platform Assessment, Selection & Implementation Processes Makes Sense
Mar 18 • 20 min
In this podcast episode, Managing Director Pete McAteer discusses why outsourcing your clearing platform assessment, selection and implementation process makes sense, and how Oyster Consulting is uniquely positioned to help.
COVID 19 and Your Business Continuity Plan
Mar 12 • 11 min
In light of the evolving progression of the COVID-19 virus, today’s podcast discusses what firms should be considering when it comes to their Business Continuity Plan.
Clearing Platform Selection and Implementation
Mar 4 • 23 min
In this week’s episode, Managing Director Pete McAteer discusses what you should do after you’ve identified any gaps in your clearing platform needs.
Should You Be Assessing Your Clearing Platform?
Feb 27 • 14 min
In this week’s episode, Managing Director Pete Mcateer discusses when and why you should be evaluating your clearing platform, and things to consider.
2020 SEC & FINRA Exam Priorities, Part 3
Feb 19 • 16 min
In case you’re wondering what the regulators will be focusing on this year, they are kind enough to let you know when they publish their annual Exam Priorities Letters. This episode is Part 3 in a series discussing the SEC and FINRA 2020 Exam Priorities…
2020 Exam Priorities Letters - Takeaways, Part 2
Feb 12 • 10 min
In case you’re wondering what the regulators will be focusing on this year, they are kind enough to let you know when they publish their annual Exam Priorities Letters. This episode is Part 2 in a series discussing the SEC and FINRA 2020 Exam Priorities…
2020 Exam Priorities Letters - Part 1
Feb 5 • 15 min
This episode is Part 1 in a series about the SEC & FINRA 2020 Exam Priorities Letters.
Reg BI - What’s Required in Form CRS
Jan 29 • 20 min
In this week’s episode, Oyster Senior Consultant Bob Tuch and Oyster Solutions Managing Director Polly Cordle discuss what’s required and how Oyster Solutions is helping our clients make the task of completing Form CRS easier.
The NIST Privacy Framework - What It Is and What Your Firm Should Be Doing
Jan 22 • 8 min
In this podcast episode, Oyster Consulting Tim Buckler explains what the Privacy Framework is, why you should implement it, and what is involved.
Oyster Solutions Software - Making Managing Your Compliance Calendar and Annual Review More Efficient and Effective
Jan 14 • 17 min
In this episode, Managing Director Polly Cordle and Consultant Gray Houghton share how Oyster Solutions Software can make your Annual Compliance Calendar and Review processes easier and more efficient using workflows and automated reporting.
When Does Outsourcing Your CCO Role Make Sense?
Jan 8 • 24 min
In this episode, Oyster Consulting Directors Nikki Brinkerhoff and Dean Pelos discuss things you should consider when making this decision, including resource availability, experience, and interaction with regulators.
‘Twas the Night Before the Exam
Dec 18, 2019 • 2 min
Enjoy our holiday take on the popular ‘Twas the Night Before Christmas poem as our fictional CCO realizes the benefits of hiring Oyster Consulting to assist with his regulatory exam.
Should You Outsource Your FinOP Position?
Dec 11, 2019 • 18 min
This week Oyster CFO and FinOP Consultants Jeff Harpel and Clark Tucker talk about what an outsourced FinOP can do for your firm and common mistakes FinOPs make.
Effective Expert Witnesses
Dec 4, 2019 • 16 min
Oyster Consulting General Counsel Patrick M. Dennis and Independent Consultant Andy Favret discuss what makes an effective Expert Witness.
Advertising Rules - Enforcement Actions and the Impact of Reg BI
Nov 20, 2019 • 14 min
This episode, Part 2 of 2, discusses relevant SEC enforcement actions around Advertising, and the impact Reg BI will have.
Mad Men Area Advertising Rule Changes Proposed
Nov 15, 2019 • 24 min
This episode, Part 1 of 2, discusses the proposed changes in detail and what firms should be thinking about when assessing their advertising materials.
Reg BI - The Compliance Obligation
Nov 6, 2019 • 24 min
This episode discusses the Regulation Best Interest Compliance Obligation, including products, advertising and marketing, and training. .
Reg BI - The Disclosure Obligation
Oct 30, 2019 • 16 min
This episode discusses the Regulation Best Interest Disclosure Obligation, including Form CRS requirements.
Reg BI - The Care Obligation
Oct 23, 2019 • 20 min
In this episode, Oyster Consultants Bob Tuch and Joe Sisti, along with Oyster’s General Counsel Patrick M. Dennis, discuss the Regulation Best Interest (Reg BI) Care Obligation.
Reg BI - Conflicts of Interest Obligation
Oct 16, 2019 • 27 min
This episode discusses the Regulation Best Interest (Reg BI) Conflicts of Interest Obligation.
Reg BI - It’s A Bigger Deal Than You Might Think
Oct 9, 2019 • 20 min
This episode discusses why Reg BI is a bigger deal then you may think, the four Obligations, and how Oyster Solutions will help firms
Reg BI - Now in Play
Jun 10, 2019 • 11 min
With the passing of Reg BI last week, this week is all about it!!