Oyster Stew - A Broth of Financial Services Commentary and Insights
Oyster Consulting
We try to take a look at industry news and give you the highlights for Compliance, Operations and Strategy Departments and Associates.
Recent Episodes
FINOP Exam Priorities and COVID 19 Impacts on FINOP ProceduresApril 08, 2020
CAT (Consolidated Audit Trail) - What You Should Be DoingApril 02, 2020
Risk Assessments - Keeping Your Firm FocusedMarch 25, 2020
Why Outsourcing Your Platform Assessment, Selection & Implementation Processes Makes SenseMarch 18, 2020
COVID 19 and Your Business Continuity PlanMarch 12, 2020
Clearing Platform Selection and ImplementationMarch 04, 2020
Should You Be Assessing Your Clearing Platform? February 27, 2020
2020 SEC & FINRA Exam Priorities, Part 3February 19, 2020
2020 Exam Priorities Letters - Takeaways, Part 2 February 12, 2020
2020 Exam Priorities Letters - Part 1 February 05, 2020
Reg BI - What's Required in Form CRSJanuary 29, 2020
The NIST Privacy Framework - What It Is and What Your Firm Should Be DoingJanuary 22, 2020
Oyster Solutions Software - Making Managing Your Compliance Calendar and Annual Review More Efficient and EffectiveJanuary 14, 2020
When Does Outsourcing Your CCO Role Make Sense? January 08, 2020
'Twas the Night Before the ExamDecember 18, 2019
Should You Outsource Your FinOP Position?December 11, 2019
Effective Expert WitnessesDecember 04, 2019
Advertising Rules - Enforcement Actions and the Impact of Reg BINovember 20, 2019
Mad Men Area Advertising Rule Changes ProposedNovember 15, 2019
Reg BI - The Compliance ObligationNovember 06, 2019
Reg BI - The Disclosure ObligationOctober 30, 2019
Reg BI - The Care ObligationOctober 23, 2019
Reg BI - Conflicts of Interest ObligationOctober 16, 2019
Reg BI - It's A Bigger Deal Than You Might ThinkOctober 09, 2019
Reg BI - Now in PlayJune 10, 2019
CAT (Consolidated Audit Trail) - What You Should Be DoingApril 02, 2020
Risk Assessments - Keeping Your Firm FocusedMarch 25, 2020
Why Outsourcing Your Platform Assessment, Selection & Implementation Processes Makes SenseMarch 18, 2020
COVID 19 and Your Business Continuity PlanMarch 12, 2020
Clearing Platform Selection and ImplementationMarch 04, 2020
Should You Be Assessing Your Clearing Platform? February 27, 2020
2020 SEC & FINRA Exam Priorities, Part 3February 19, 2020
2020 Exam Priorities Letters - Takeaways, Part 2 February 12, 2020
2020 Exam Priorities Letters - Part 1 February 05, 2020
Reg BI - What's Required in Form CRSJanuary 29, 2020
The NIST Privacy Framework - What It Is and What Your Firm Should Be DoingJanuary 22, 2020
Oyster Solutions Software - Making Managing Your Compliance Calendar and Annual Review More Efficient and EffectiveJanuary 14, 2020
When Does Outsourcing Your CCO Role Make Sense? January 08, 2020
'Twas the Night Before the ExamDecember 18, 2019
Should You Outsource Your FinOP Position?December 11, 2019
Effective Expert WitnessesDecember 04, 2019
Advertising Rules - Enforcement Actions and the Impact of Reg BINovember 20, 2019
Mad Men Area Advertising Rule Changes ProposedNovember 15, 2019
Reg BI - The Compliance ObligationNovember 06, 2019
Reg BI - The Disclosure ObligationOctober 30, 2019
Reg BI - The Care ObligationOctober 23, 2019
Reg BI - Conflicts of Interest ObligationOctober 16, 2019
Reg BI - It's A Bigger Deal Than You Might ThinkOctober 09, 2019
Reg BI - Now in PlayJune 10, 2019