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 4, 2021 10 min

 Regulatory settlement terms could require that the firm obtain the services of an independent third party to review and make recommendations for the firm to adopt and implement. While sometimes viewed with as an extension of the regulator, third party reviews may to your advantage during the settlement and pre-settlement process.  Listen to this episode as Oyster Consulting's Patrick M. Dennis and Evan Rosser discuss the upsid...

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Don't be a findings in next year's FINRA Exam Priorities report.
Join our FINOP and Finance experts Rob Hall, Clark Tucker and Jeff Harpel as they discuss? the repeated and new findings and recommendations in FINRA's 2021 Examination and Risk Monitoring Program.?

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Cyber criminals have been active and the costs of compliance or, worse,  a security breach, continue to rise. Join our experts Tim Buckler, Ed Wegener and Buddy Doyle as they discuss ways your firm can mitigate cyber threats arising from your vendors and when you are changing technology platforms.  

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Cyber criminals have been active and the costs of compliance or, worse,  a security breach, continue to rise. Join our experts Tim Buckler, Ed Wegener and Buddy Doyle as they discuss ways your firm can mitigate internal and external cyber threats.  

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Introducing brokers must look down the road when considering economics and profitability,  whether it is looking at a neglected clearing firm contract, or considering consolidation, succession and other alternatives to fulfill future needs.  Join our panelists David Williams, Jay Donlin, Dave Osborne and Jim Roth as they talk about what they are seeing in these areas, how firms are handling the current environment and how they are ...

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Competition, regulations, technology and reduced margins may be reducing your broker-dealer's bottom line. How do you continue to thrive in this environment?  The answer may be right in front of you - your clearing firm.  Join our panelists David Williams, Jay Donlin, Dave Osborne and Jim Roth as they talk about how maximizing your clearing firm's capabilities can help your bottom line. 


 

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 Join Oyster CEO Buddy Doyle and consultants Ed WegenerEvan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss the importance of viewing the FINRA's 2021 Exam Priorities and your compliance program through a risk-based lens.  

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March 10, 2021 9 min

For years FINRA has shared its priorities for the coming year, and 2021 was no exception.  This year, FINRA's higher expectations of Reg BI compliance are worth checking into, so you have a successful compliance program and exam.  Join Oyster CEO Buddy Doyle and consultants Ed WegenerEvan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss how making the most of the new 2021 Exam Priori...

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You’ve done the work to get ready for Reg BI…was it enough? Join Oyster CEO Buddy Doyle and consultants Ed Wegener and Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss regulators' expectations around Reg BI compliance in 2021, and how understanding and using FINRA's new Exam Priorities letter format can help you ensure your compliance program will meet those expectations.

 

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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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