Oyster Stew - A Broth of Financial Services Commentary and Insights

Oyster Stew - A Broth of Financial Services Commentary and Insights

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

Episodes

May 25, 2022 14 min

One trend in the financial services industry that we've seen recently is a significant increase in turnover in Compliance staff.  Firms have challenges in quickly filling those roles. This podcast discusses this trend and what firms can do in order to mitigate the risks associated with this type of turnover.

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There are many things you just can’t learn from a book or from studying for an exam.  Join us for Part 2 of our look back at our popular series, ‘CCO – Behind the Scenes.  Take advantage of the practical experiences shared by Jeffrey Hiller, a former CCO for global investment firms and SEC investigator.

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May 12, 2022 15 min

Financial services compliance continues to evolve, but there are many things you just can’t learn from a book. Join us for Part 1 of our lookback at our popular series, CCO Behind the Scenes. Take advantage of the practical experiences shared by Jeffrey Hiller, a former CCO for global investment firms and SEC regulator. 

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There are significant changes happening across so many different facets of our industry, and often at a relatively high velocity.  Whether it's social or technological, the advisory focused landscape or regulatory challenges, now is the opportunity for all of us to take a more strategic look at your business. In this Oyster Stew podcast, our experts discuss the many circumstances that cause the firms that we work with to make t...

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Digital transformation touches so many different aspects of how firms operate, how they interact with customers and how they manage critical data and records.  In this episode of Oyster Stew, experts Jeff Wilk, David Altschul and Ed Wegener share best practices firms can deploy to begin their digital transformation. 

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Customers now expect all forms of remote access and services, and firms are recognizing that these are now the staple of their customer experience, not the exception.  Internal innovation and agility are a must, as the shift in culture within firms also takes place. In light of these changes, this podcast provides an in-depth conversation about why digital transformation is so important.  

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Today's technology and rate of change creates new challenges for firms of all sizes. They must keep up with the developments, navigate a constant environment of change, and do it all with a clearly articulated digital transformation plan.  This podcast episode provides an in-depth conversation about what is meant by digital transformation.

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March 28, 2022 29 min

In today’s environment of acquisition and consolidation, thinking about succession and how you can monetize your assets should be a part of your strategic planning process.

In this Oyster Stew podcast, Oyster’s CEO Buddy Doyle and Dave Williams, Head of Business Development, share their insights on the value of strategically planning your exit. 

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March 23, 2022 12 min

Although T+1 isn't scheduled to be implemented until 2024, there are a lot of things firms need to take into consideration well beforehand.  In this Oyster Stew podcast, our experts, who all have extensive experience in trading and markets and conversions, share their insights on what firms should be thinking about at this stage and what steps can be taken to make sure they're ready. 

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Each year FINRA releases its Report on FINRA's Examination and Risk Monitoring Program, previously known as FINRA's Exam Priorities. In this Oyster Stew podcast, FINOP experts Jeff Harpel, Clark Tucker and Fred Wagstaff share their insights and thoughts on FINRA’s Financial Management priorities. 

 

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FINRA's Consolidated Audit Trail reporting requirements  are steadily moving forward. Oyster experts provide an overview, discuss FINRA's CAT priorities, sweeps and pitfalls firms should avoid. 

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 As you consider starting your own investment advisor, how to transition your book of business is always a hot topic for discussion. In today's podcast, Oyster experts Buddy Doyle, and Steve Anderson share their insights on Broker Protocol and other things to consider like employment agreements, commissions, and technology. 

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March 2, 2022 30 min

Each year, FINRA releases its Report on FINRA's Examination and Risk Monitoring Program, previously known as FINRA's Exam Priorities.  In this podcast, Oyster experts Jeff Gearhart, Evan Rosser, Ralph McGee, and Frank Childress share their insights and thoughts on what firms should be doing around the Market Integrity portions of the report. This includes Consolidated Audit Trail (or CAT), Market Access, Best Execution, and...

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Oyster Consulting's experts give their insights on the 2022 Report on FINRA's Examination and Risk Monitoring Program. Topics include Reg BI, variable annuities, cybersecurity, Direct Business monitoring, SPACs, Private Placements and AML. 

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February 11, 2022 24 min

 Whether you are starting and RIA or are already running one, there are keys to growing a prosperous business. In this Oyster Stew podcast, our experts share their insights and experience to help you grow your business. 


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February 8, 2022 18 min

When you form your own RIA, you must establish what type of entity you want to be.  As part of our series on starting a Registered Investment Advisor, we’ll be talking about the different options and things to consider, like tax and cash flow ramifications, and the immediate, interim and long-term impacts of your choice.

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Each year industry regulators produce what are generally known as Exam Priorities. In this podcast Oyster Consulting's Governance, Risk and Compliance experts Ed Wegener, Sarah Sutton, Evan Rosser and Jeffrey Hiller talk about them - where they come from, how they’re used by the regulators and how you can use them to assess your compliance program. 

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Technology platforms impact nearly all aspects of your business, so selecting the right technology for your RIA is more than just choosing a custodian. Oyster's experts discuss defining what your firm needs, designing your technology processes around your business processes, and vendor due diligence, as well as other things to consider.    

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Learn how and when to start your own Investment Advisor Firm.  Experts Buddy Doyle, Sarah Sutton and Jay Donlin discuss licensing, what you need, registering with the SEC and choosing a custodian. 

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