Oyster Stew - A Broth of Financial Services Commentary and Insights
Our financial services industry insights come from on-the-ground experience, successfully navigating complex challenges and business. Our insights are your opportunities.
Podcasting since 2019 • 179 episodes
Oyster Stew - A Broth of Financial Services Commentary and Insights
Latest Episodes
AML in Action: Practical Strategies for Surveillance, Training, and SAR Reporting
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...
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33:26
CAT Compliance - Build the Surveillance Framework Regulators Demand
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...
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27:36
Are You Unintentionally Triggering Custody? Hidden Risks in Everyday Advisory Practices
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...
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15:37
Inside the Latest CAT and CAIS Reporting Issues
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...
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12:33
3 Reasons You Must Review Your Clearing Contract
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...
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13:57
