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
The Upside of Independent Third Party ReviewsMay 04, 2021
FINOP FOCUS: 2021 Exam PrioritiesApril 22, 2021
Cybersecurity: Mitigating Vendor and Change Management RisksApril 20, 2021
Cybersecurity: Tactics for Mitigating Internal and External ThreatsApril 14, 2021
Looking Ahead: Clearing Relationships and Succession PlanningMarch 26, 2021
Are You Maximizing Your Clearing Firm's Capabilities? March 25, 2021
2021 Exam Priorities: The Importance of a Risk-Based ApproachMarch 17, 2021
Reg BI - FINRA Expects MoreMarch 10, 2021
Reg BI - FINRA's Higher Expectations in 2021 March 09, 2021
FINRA 2021 Exam Priorities - Innovations & RegulationsMarch 02, 2021
Remote Branch Exams: Expectations, Requirements and Things to ConsiderJanuary 11, 2021
Regulators - Behind the Scenes: Episode 4November 10, 2020
Regulators - Behind the Scenes: Episode 5November 10, 2020
Regulators - Behind the Scenes: Episode 3November 10, 2020
Regulators - Behind the Scenes: Episode 2November 10, 2020
New Mini-series! Regulators - Behind the ScenesNovember 10, 2020
Regulation Best Interest (Reg BI) - Where Are We Now? November 03, 2020
CCO - Behind the Scenes, Episode 5October 14, 2020
The Market Access Rule - Digging DeeperOctober 12, 2020
CCO - Behind the Scenes Episode 4October 07, 2020
The Market Access Rule - Still a Priority for FINRA...and for YouOctober 01, 2020
CCO - Behind the Scenes Episode 3September 30, 2020
CCO Behind the Scenes - Episode 2September 23, 2020
New Mini-Series! CCO - Behind the ScenesSeptember 16, 2020
Leadership - Connecting the Dots in Today's Business EnvironmentAugust 19, 2020
FINOP FOCUS: 2021 Exam PrioritiesApril 22, 2021
Cybersecurity: Mitigating Vendor and Change Management RisksApril 20, 2021
Cybersecurity: Tactics for Mitigating Internal and External ThreatsApril 14, 2021
Looking Ahead: Clearing Relationships and Succession PlanningMarch 26, 2021
Are You Maximizing Your Clearing Firm's Capabilities? March 25, 2021
2021 Exam Priorities: The Importance of a Risk-Based ApproachMarch 17, 2021
Reg BI - FINRA Expects MoreMarch 10, 2021
Reg BI - FINRA's Higher Expectations in 2021 March 09, 2021
FINRA 2021 Exam Priorities - Innovations & RegulationsMarch 02, 2021
Remote Branch Exams: Expectations, Requirements and Things to ConsiderJanuary 11, 2021
Regulators - Behind the Scenes: Episode 4November 10, 2020
Regulators - Behind the Scenes: Episode 5November 10, 2020
Regulators - Behind the Scenes: Episode 3November 10, 2020
Regulators - Behind the Scenes: Episode 2November 10, 2020
New Mini-series! Regulators - Behind the ScenesNovember 10, 2020
Regulation Best Interest (Reg BI) - Where Are We Now? November 03, 2020
CCO - Behind the Scenes, Episode 5October 14, 2020
The Market Access Rule - Digging DeeperOctober 12, 2020
CCO - Behind the Scenes Episode 4October 07, 2020
The Market Access Rule - Still a Priority for FINRA...and for YouOctober 01, 2020
CCO - Behind the Scenes Episode 3September 30, 2020
CCO Behind the Scenes - Episode 2September 23, 2020
New Mini-Series! CCO - Behind the ScenesSeptember 16, 2020
Leadership - Connecting the Dots in Today's Business EnvironmentAugust 19, 2020