Oyster Stew - A Broth of Financial Services Commentary and Insights Podcast Artwork Image

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