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November 10, 2020 19 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 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 won't learn from a textbook, such as managing your relationship with regulators, what to expect during an exam, handling violations and document production during an exam, and escalation, to name a few.

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