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.
Episodes
FINRA 's Annual Report Is Out - Here's What You Need to KnowJanuary 26, 2023
The Regulatory Exam Process: How to make it work FOR youJanuary 13, 2023
Protect Your Trade Desk - Risk, Reputation and Regulatory Compliance December 08, 2022
How to Optimize Your Trade DeskNovember 30, 2022
Cut to the chase - Get the Best Clearing Firm OptionsNovember 17, 2022
15 Tips to Create an Effective Compliance Calendar November 11, 2022
What Can Happen When You Start Managing Your Clearing Relationship At an Executive LevelNovember 10, 2022
Want to Improve Your Compliance Program? Know What Controls to TestOctober 26, 2022
ESG Investment Strategy - Do It Right or Don't Do ItOctober 20, 2022
Strategies To Get The Most Out Of Your Risk AssessmentOctober 19, 2022
We've Been Using Risk Assessments for Years - Here's WhyOctober 13, 2022
2023 Strategic Planning – Attracting Talent and Multi-Generational ClientsOctober 06, 2022
2023 Strategic Planning – Navigating Industry ChallengesSeptember 29, 2022
Consolidated Audit Trail CAIS Reporting - Time to Test and PrepareSeptember 22, 2022
Best Practices for Modern Regulatory ExamsSeptember 15, 2022
Keys to Successful Modern Regulatory ExamsSeptember 08, 2022
How Digital Transformation Impacts Client CommunicationsSeptember 01, 2022
Want to Reduce Expenses in Your Budget? The Answer May Be Simpler Than You ThinkAugust 25, 2022
10 Best Practices for Electronic Communications ComplianceAugust 16, 2022
FINOP Focus - Expense Sharing Agreement Best PracticesAugust 11, 2022
Outsourcing Initiatives Can Save Time and Money - Is It Right for Your Firm? July 28, 2022
Outsourcing Can Be An Advantage for Broker-Dealers - Is It Time For Your Firm?July 19, 2022
Best Practices for Overcoming Compliance ChallengesJuly 14, 2022
T+1 - 6 Things Your Firm Should Be Doing NowJuly 07, 2022
AML Regulatory Expectations in 2022June 30, 2022
