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.... Show More

Episodes

March 2, 2021 13 min

For years FINRA has shared its priorities for the coming year, and 2021 was no exception.  However, this year's new format and FINRA's higher expectations are worth checking into so you have a successful exam.  Join Oyster CEO Buddy Doyle and consultants Ed Wegener,  Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss how the new format can help you ensure your compliance program ...

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Join Oyster Consulting's Buddy Doyle, Jeffrey Hiller, Evan Rosser and Ed Wegener as they provide insight on the current regulatory expectations and requirements around remote inspections, as well as things you should consider when preparing for an exam.  Oyster's consultants have been conducting remote testing for clients for years.  Jeffrey, Evan and Ed are all former regulators, and have been on both sides of the issue wh...

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November 10, 2020 11 min

Join Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes.  In each episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on document production and the value of cooperation with regulators, cultivating a culture of compliance and "tone at the top."

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Join Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes.  In each episode, they share their experiences and perspectives as former regulators with the SEC, FINRA and the State of Florida, as well as experiences working as CCOs and consulting for clients on regulatory exams and issues.  Some things you just...

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November 10, 2020 18 min

Join Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators - Behind the Scenes.  In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on what happens with when regulators find a violation and how they deal with it.

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Join Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes.  In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on the best ways to manage and even improve your relationship with regulators. 

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November 10, 2020 15 min

Join Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes.  In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on Document Production and the importance of good communication with examiners. 

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On October 26, 2020 the SEC hosted a Reg BI/Form CRS roundtable event. Oyster CEO Buddy Doyle and Consultant Evan Rosser took this opportunity to add their input about where regulators are when enforcing Reg BI, and what we are hearing from our clients.  Reg BI is an ongoing compliance requirement, and now is the time for firms to take a look at the feedback from the regulator s, their customers and their sales force.  Listen to le...

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October 14, 2020 5 min

In this episode of CCO - Behind the Scenes, Jeffrey Hiller discusses what makes a good CCO, the importance of being a "straight shooter," giving bad news. Listen as Jeffrey shares his real experiences and lessons learned during his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just checking boxes.    

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October 12, 2020 11 min

Oyster Consulting often works with clients after they've been examined by the regulators, and the Market Access Rule (Rule 15c3-5) is no different. It's in your firm's best interest to take a proactive look at your Market Access program and get it in good order, before the regulators do. In this second of 2 podcasts covering the Market Access Rule, Oyster Consultants Joe Sisti and Evan Rosser discuss some of the finer p...

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October 7, 2020 4 min

In this episode of CCO - Behind the Scenes, Jeffrey Hiller talks about what "Tone at the Top" means, and why it's important to embed the Compliance Department within the firm.   Listen as, during these short discussions, Jeffrey shares his real experiences and lessons learned during his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being C...

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The Market Access Rule (Rule 15c3-5) remains on FINRA's priority list - they provided guidance on the rule and initiated enforcement actions against firms struggling to adhere to it. Oyster Consulting often works with clients after they've been called to the carpet by the regulators. It's in your firm's best interest to take a proactive look at your Market Access program and get it in good order, before the regulato...

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September 30, 2020 6 min

Join Oyster Consulting's Jeffrey Hiller in his new podcast mini-series, CCO - Behind the Scenes, as he shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just checking boxes.  Listen and learn in these short discussions as Jeffrey shares his real experiences and lessons learned. In this week's episode Jeffrey discu...

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September 23, 2020 8 min

Join Oyster Consulting's Jeffrey Hiller in his new podcast mini-series, CCO - Behind the Scenes, as he shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just checking boxes. There are office politics to navigate, nuances to dealing with regulators and board members, and of course, ethical issues. Listen and learn in t...

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September 16, 2020 7 min

Join Oyster Consulting's Jeffrey Hiller in his new podcast mini-series, CCO - Behind the Scenes, as he shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Jeffrey literally helped write the book on modern regulatory compliance. Being CCO is more than just checking boxes. There are office politics to navigate, nuances to dealing with regulator...

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Oyster industry leaders discuss what firm executives and decision makers should be focusing on in today's volatile and changing business environment.  Topics include:
 

  • improving your bottom line 
  • updating and improving your planning services to meet client needs, risk levels and employment challenges
  • managing your cybersecurity and third party vendors in a pandemic world
  • vendor support 
  • controls, testing and disclosures   
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    August 5, 2020 19 min

    The pandemic has changed how firms operate, and regulators have had to change their examination practices to accommodate remote offices and staff.  In this episode, Oyster Managing Director Ed Wegener, who was a former SVP and Midwest Regional Director of FINRA, shares his insider views on:

  • the changes in the regulator's examination program
  • the kind of the people that are doing examinations
  • what firms should expect when an examine...
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    For financial services firms registered with regulatory bodies, regulatory exams have instilled the gamut of emotions from annoyance to anxiety, to outright fear. Fortunately, much of this could be mitigated with a better understanding of the exam process, the necessity for robust risk assessments, and by nurturing the firm's relationship with it's regulatory contact.  This week's episode features Oyster Managing Direct...

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    As advisors build out their financial planning business, they gather a lot of data and over the years, the strategy of the firm can change. That may mean it's a good time to change from a software application that's more cash flow to one that's more goal-oriented, or vice versa.  As a follow-up to last week's high-level overview of the software selection process, Bill Davis offers the best approaches for advisors to...

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    Firms are always looking for ways to improve their bottom line, and updating or upgrading their software is one of them. But where to begin? How do you know if it will work for your firm? What will the implementation look like? What about hidden costs?  In this week's episode Polly Cordle, Managing Director of Oyster Solutions Software, offers some tips and tricks on what to look for when you are considering new software. 


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