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
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
Preparing for Modern Regulatory ExamsAugust 05, 2020
Understanding Risk-Based Regulatory ExamsJuly 29, 2020
Retirement Planning Software - Selection & Implementation ConsiderationsJune 16, 2020
Software Selection - Where Do I Start? June 11, 2020
Resolving Operational Issues Uncovered During Acquisitions and Transformations May 28, 2020
Conducting Remote Supervision in Your Transitioning WorkplaceMay 20, 2020
Will There Be A Post-Pandemic Securities Litigation Wave? May 13, 2020
Your Transitioning Workplace - Don't Lose Sight of the Moving PartsMay 06, 2020
SEC Issues Anticipated Exemptive Relief for Consolidated Audit Trail (CAT)April 29, 2020
Planning Services to Help You Serve Your Clients BetterApril 20, 2020
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
Preparing for Modern Regulatory ExamsAugust 05, 2020
Understanding Risk-Based Regulatory ExamsJuly 29, 2020
Retirement Planning Software - Selection & Implementation ConsiderationsJune 16, 2020
Software Selection - Where Do I Start? June 11, 2020
Resolving Operational Issues Uncovered During Acquisitions and Transformations May 28, 2020
Conducting Remote Supervision in Your Transitioning WorkplaceMay 20, 2020
Will There Be A Post-Pandemic Securities Litigation Wave? May 13, 2020
Your Transitioning Workplace - Don't Lose Sight of the Moving PartsMay 06, 2020
SEC Issues Anticipated Exemptive Relief for Consolidated Audit Trail (CAT)April 29, 2020
Planning Services to Help You Serve Your Clients BetterApril 20, 2020