Oyster Stew - A Broth of Financial Services Commentary and Insights
Our financial services industry insights come from on-the-ground experience, successfully navigating complex challenges and business. Our insights are your opportunities.
Episodes
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 Consulting, walk through the issues around protecting elder and vulnerable investors against fraud and abuse, and what financial services firms are doing to combat it.
Oyster Consulting has th...
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 the requirements, self-correction, and what they see as the DOL’s approach.
Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof.
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 Joan Neri from the law firm of Faegre Drinker Biddle & Reath join Oyster's Ed Wegener will be discussing this case and other legal challenges, and the impacts these will have, i...
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 CCOs make and concerns firms may have around outsourcing such an important role.
Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof...
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, Ed Wegener and Steve Gannon, a partner at the law firm of Davis Wright Tremaine, walk through the evolution of the crypto asset class, including some of the common types of digital asse...
In part 2 of or Digital Assets mini-series, Steve Gannon and Ed Wegener continue their discussion of the Regulatory actions that are occurring around digital assets, including cases that the SEC is bringing, and where they see these cases going.
Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof.
Our seasoned industry leaders provide consulting, outsourcing and soft...
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 has the expertise, experience and licensed professionals you need, all under one roof.
Our seasoned industry leaders provide consulting, outsourcing and software to help you p...
As part of our podcast series talking about FINRA’s 2023 Exam Priorities, today our experts share best practices and what we are hearing from our clients and the industry at large on Reg BI, Sales and Communications.
Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof.
Our seasoned industry leaders provide consulting, outsourcing and software to help you plan, ma...
Oyster's Capital Markets experts were recently featured on the Bond Dealer Association's podcast, "Bonding Time," discussing issues affecting the US fixed income markets. Topics include SEC Rule 15c-211, TRACE and MSRB reporting, the FINRA Margin Rule (42-10), Best Execution, T+1 and Clearing Options.
Enjoy a short sample of the original podcast. You can listen to the entire podcast here.
Many leaders at broker-dealers have a strong belief that there is no money laundering occurring within their firm. Unfortunately, belief alone isn’t enough to satisfy the requirements and expectations of regulators. As part of our podcast series talking about FINRA’s 2023 Exam Priorities, today our experts dive into the Financial Crimes portion of the report around AML and manipulative trading.
Oyster Consulting has the exp...
Oyster’s Ed Wegener chats with Lisa Robinson, formerly a Senior leader at FINRA, head of FINRA’s Membership and Application Program group and currently a member of Oyster’s Consulting team. Lisa shares her unique perspective on FINRA's registration and Continuing Membership Application process, including what firms should consider.
Oyster Consulting has the expertise, experience and licensed professionals you need,...
Whether you are searching for the right full-time employee but need someone right now, training someone internally, need a person with exceptional experience who can handle the complexity of your business or you just don’t need a fulltime position, outsourcing a role makes sense. Oyster’s General Counsel Bob Mooney and Consultant Fred Wagstaff share their thoughts on the value of hiring a fractional CFO.
Oyster Consulting has ...
Each year, financial services industry regulators produce what are generally known as Exam Priorities. In this podcast episode, our Compliance experts review FINRA’s exam priorities - what’s new along with the highlights you should be aware of. This annual report is a helpful tool to identify what FINRA is seeing during their examinations and what areas FINRA will be focusing on in the coming year. Learn how broker-dealers can use ...
How you manage the process of responding to a regulatory exam, whether it is routine exam, a sweep or an investigation can influence how the exam goes, and possibly the outcome of the exam as well.
As part of our series on managing exams and your regulatory relationships, Oyster’s experts provide best practices for managing the process of responding to exam requests.
Oyster Consulting has the expertise, experience and license...
Regulators demand strong governance and supervision of sales and trading activities, including access to markets, electronic trading and client transactions. In today’s podcast, Oyster’s trade desk experts share their first-hand experience in trade desk risk management, operations and compliance oversight.
Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof.
Trade desks can drive revenue growth and profitability, differentiate products and services, and be a fundamental need for advisor and investment services.
In today’s podcast, Oyster’s Capital Markets experts share their industry experience around starting and managing a successful trade desk.
Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof.
Our seasoned industr...
Your clearing and custodial partnerships touch every part of your business: your clients, financial professionals, technology platform, operations, digital experience and compliance are just some of those dependencies. And don’t forget about the impact on your P&L.
In today’s podcast, Oyster’s clearing and custodian experts share their experience with managing clearing platform technology, consulting and integration, includin...
Risk assessments help prioritize your tasks and testing, and of course, the rules dictate what is required to be done to remain compliant. So how do you make sure you are following the rules and protecting your firm?
In today’s podcast, Oyster compliance experts, who work a variety of clients and business models, share tips they’ve learned on how to build an effective and efficient compliance calendar.
Oyster Consulting has t...
Your clearing and custodial partnerships touch every part of your business: your clients, financial professionals, technology platform, operations, digital experience and compliance are just some of those dependencies. And don’t forget about the impact on your P&L.
In today’s podcast Oyster’s clearing and custodian experts Dave Williams, Jay Donlin, Pete McAteer and Jim Roth share how you should manage your clearing and custod...
Creating a risk assessment lets you know where the risks are and where to focus your compliance efforts. Once you have a risk assessment, knowing which controls to test and how often is the next step to strengthening your compliance program. But how do you know which controls and how often you should test them? In today's podcast, Oyster experts share their expertise on successfully designing tests around risk controls.
Popular Podcasts
Current and classic episodes, featuring compelling true-crime mysteries, powerful documentaries and in-depth investigations.
If you can never get enough true crime... Congratulations, you’ve found your people.
In order to tell the story of a crime, you have to turn back time. Every season, Investigative journalist Delia D'Ambra digs deep into a mind-bending mystery with the hopes of reigniting interest in a decades old homicide case.
It’s a lighthearted nightmare in here, weirdos! Morbid is a true crime, creepy history and all things spooky podcast hosted by an autopsy technician and a hairstylist. Join us for a heavy dose of research with a dash of comedy thrown in for flavor.
Unforgettable true crime mysteries, exclusive newsmaker interviews, hard-hitting investigative reports and in-depth coverage of high profile stories.