While the core principles of Reg BI and investment advisor fiduciary duty remain consistent, regulatory expectations continue to evolve through examinations, enforcement actions, and formal guidance.In Part 1 of this conversation, our ex...

Dive deep into the crucial foundation every organization should have in place before successfully integrating AI into its operations. In Part 4 of our special AI Series with Carolyn Welshhans of Morgan Lewis, our expert panel explores: 

Powerful AI tools are rapidly transforming financial services, but beneath the promise of efficiency lurks significant risk. For firms eager to harness AI’s power while avoiding costly missteps, strategic planning and sound governance are non-n...

In this second installment of our special Oyster Stew podcast series, experts Pete McAteer, Dan Garrett an...

In this special series of the Oyster Stew podcast, Oyster Consulting’s Pete McAteer, Dan Garrett and Jeff Gearhart team up with Carolyn Welshhans, a partner at Morgan, Lewis & Bockius LLP, to unpack the real-world applications, reg...

In this episode of the Oyster Stew podcast, Oyster Consulting’s Ed Wegener and Bryan Jacobsen break down how firms can implement risk-based monitoring, tailor training for frontline roles, conduct effective investigations, and ensure y...

Your CAT reporting compliance requires more than just data submission; you need comprehensive surveillance programs that include monitoring both exceptions and successful reports to maintain regulatory compliance.  Listen to t...

In this episode of the Oyster Stew podcast, regulatory compliance experts Ed Wegener, Candy Palugi, and Nolan Hughes examine the nuanced world of custody regulations and outline concrete steps firms should take when custody is discovered, inclu...

Join Oyster experts as they provide real-world insight into the shifting CAT and CAIS landscape, including:The current regulatory focus on removing PII information from CAIS reportingImplementation uncertainty - where FINRA...

Your clearing agreement is the backbone of your brokerage firm’s operations, yet many firms fail to review it until it’s too late. In this week’s episode, Oyster’s David Williams and Peter Sheehan break down why your clearing contract should be...

In this episode of the Oyster Stew Podcast, Dan Garrett and Jay Donlin break down the critical—but often overlooked—factors that determine whether your technology investments will actually move the needle for your firm. From setting business-dr...

Understanding and implementing the new FINCEN AML (anti-money laundering) requirements for registered investment advisors (RIAs) is crucial to achieving compliance by the 2026 deadline. Preparing for AML compliance as an RIA will take time. Fir...

Unlock the secrets of navigating FINRA's complex enforcement landscape with former enforcement officials Lisa Colon and Chris Kelly, who now provide defense counsel to broker-dealers. Drawing on their rich experience at FINRA and current roles ...

In this episode of the Oyster Stew Podcast, our panel of financial services experts breaks down the key considerations for outsourcing critical functions, such as compliance, finance, and vendor selection. Whether you’re

Building and maintaining strong relationships with regulators is not just beneficial, but essential. Join us for Part 2 as former regulators share their experience and insights into how to establish open, candid communication, and engage regula...

Ever wondered how to turn a regulatory exam into a strategic advantage? Join our discussion (Part 1 of 2) with former regulators Patrick Dennis, Evan Rosser, Ed Wegener, Jeffrey Hiller and Bill Reilly as they share their insights into what regu...

Unlock the secrets of crafting compliance manuals that truly work for your firm with insights from our regulatory compliance experts. Discover why using generic templates might be a recipe for disaster, and how aligning your written supervisory...

Listen to Part 1 of our two-part series on Common Compliance Mistakes as Oyster’s regulatory compliance experts uncover how to spot, prevent, and correct the following issues:Communication Missteps: Closing the Gapsdiscover w...

Our latest episode of Oyster Stew features industry veterans Dan Garrett, Jeff Wilk and Tim Buckler, who share their insights into the complexities of vendor risk and data protection.  Discover how to protect client data amid the vulnerabi...

Unlock the secrets of making informed technology decisions with Oyster Consulting’s technology experts Jeff Wilk and Dan Garrett, as they share their expertise in navigating the build vs. buy decision. Discover how understanding the hidden cost...

Ever wondered how significant growth could impact your broker-dealer registration requirements? Join us as we unravel the complexities with industry experts Ed Wegner and Lisa Robinson. Lisa leverages her extensive experience as Senior Director...

Adapting your infrastructure while managing your firm's growth can present unique challenges. Join Oyster’s Ed Wegener, Brent Nicks and Pete McAteer as they share their insights for scaling and sustaining growth. In this podcast you...

 Join us as Oyster’s Jeff Wilk and Envestnet Chief Relationship Officer and Group Head of Wealth Solutions and Asset Management Distribution, Andrew Stavaridis, bring you an insider’s perspective on the industry's technology evoluti...

In this episode of the Oyster Stew podcast, our experts, Dan Garrett and Jay Donlin, take you on a de...

Embarking on the path to becoming an RIA is an exhilarating time filled with opportunities and challenges, and our experts are here to guide you every step of the way. In this episode, we'll delve into essential aspects of the registration proc...