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...

When starting a Registered Investment Advisor there are fundamental aspects you must understand before taking this step. Oyster's experts Brent Nicks, Nolan Hughes and Dan Garrett provide an overview into things you need to think through and pu...

May 2024 saw the implementation of two major industry projects: T+1 and go-live compliance for CAT/CAIS reporting. Experts Jeff Gearhart and Ralph Magee provide the latest updates on T+1 from industry meetings and key participants, including<...

If you are a start-up or an established wealth management firm, determining whether you want to manage your own operating platform or outsource it is an important strategic decision.  There are many factors to consider, from cost and avail...

In today’s podcast Oyster experts share their insights into what to think about as you prepare to register an alternative trading system, or ATS.  Jeff Gearhart and Lisa Robinson will discuss challenges and misconceptions, and then Lisa wi...

After nearly a decade of delays, FINRA is finally enacting amendments to Rule 4210.  The new Covered Agency Transaction requirements became effective  May 22nd, 2024. Oyster’s Jeff Gearhart, Jose Fernandez and  Stephen Mellert,&n...

In today’s our experts discuss an area where FINRA spends a lot of resources – Communications and Sales.  We’ll look at challenges our clients are facing and best practices when it comes to:·       Communications...

Oyster experts Pete Bowman and Dan Garrett share their insights into what the broker-dealer community is facing when it comes to evolving platforms, changing business models, AI technology, firm acquisitions and the platform consolidations that...

Oyster Consulting experts Casey Dougherty, Dan Garrett and Bryan Jacobsen discuss FINRA’s exploration of AI, supervisory obligations  with regard to outsourcing AI technology to firms, and best practices for maintaining compliance and prot...

The wealth management industry is shifting towards more data-driven, personalized and secure services.  In this week’s Oyster Stew podcast, Oyster experts  discuss the industry’s relationship with AI today, the role of Artificial Inte...