Oyster Stew - A Broth of Financial Services Commentary and Insights

Many Leaders are facing the same issues and challenges in today’s financial services industry: managing profitability, trying to hire good talent, and growing their business.  Whether you are a member of an executive team or a business owner, your strategic plan is a critical element to the success of your organization.

In today’s podcast, Oyster CEO Buddy Doyle and Head of Business Development Dave Williams talk about challenges we are hearing from our clients, from managing the effects of industry trends and technology to succession planning. 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Consolidated Audit Trail reporting has reached a new regulatory stage, with upcoming Customer and Account Information System (CAIS) reporting requirements and interim obligations. Deadlines for achieving compliance with the requirements is December 12, 2022, only three months away.    

In today’s podcast, Oyster Consulting’s experts share what the CAIS reporting requirements are, issues we are seeing from our own clients as they go down this path, and what firms should be doing to meet the deadlines successfully.  

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

In our previous podcast about modern regulatory exams, our experts, some of whom who are former regulators themselves, shared how exams have evolved in recent years, and how knowing what you can expect can help you prepare and navigate through the process. 

In today’s podcast, we share best practices for making the most out of your regulatory exams and what happens after the exam is over.   

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Compliance professionals often dread regulatory exams, but there are effective ways to handle them.

 In today’s podcast, hear from Oyster’s experts and former regulators how regulatory exams have become risk-based and data-driven, what is driving exam frequency and what the regulators are looking for. 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Digital tools have evolved, making access to information and the ability to transact far easier then ever before for the average investor. However, there are risks and challenges around this technology. What does this mean for your business?  

In today’s podcast, Oyster Consulting’s experts explore the evolution of client-focused technology, the risks for securities industry businesses and some of the ways we are seeing firms mitigate them. 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

We often look at how firms are reacting to and managing the rapid changes in the financial services industry. Reviewing the profitability of your firm is one process that can help you get and stay ahead of your competitors.   

In today’s podcast, Oyster Consulting’s experts discuss things to consider when optimizing your P&L, including best practices, risks around making changes and how you can mitigate them. 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Regulators are increasingly focused on electronic communications and the use of unapproved personal devices. After several firms were fined, other firms have begun questioning whether or not their programs are robust enough to withstand that kind of scrutiny.  

In today’s podcast, Oyster Consulting’s experts discuss challenges and best practices around these policies.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

The requirement for broker-dealers to provide to regulators their expense sharing agreements is not new, yet it still keeps coming up in FINRA’s exam priorities every year.  In this Oyster Stew Podcast our experts discuss what is requirements and some of the finer points of creating expense sharing agreements.  

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

In this Oyster Stew podcast, Oyster Consulting experts Pete McAteer, Jeff Wilk, Cody Davis and Jeff Gearhart share their insights on when it makes sense to leverage a consulting firm to help with initiatives outside the regular scope of your day-to-day business (and some projects you may not have thought about), and what can make it a success. 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Regulatory and economic factors are impacting many firms' profitability. Join us as our experts discuss how some firms are grappling with the decision to retain their FINRA registration or to outsource some of the supporting roles. 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Regulatory issues can have a major impact on a Compliance professional's career. Oyster's experts, who are former CCOs, talk about the issues they faced, from liability and escalation to managing the relationship between Business and Compliance. 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

The recent press attention and the increased use of sanctions as policy are additional drivers to this focus on AML.  In today's podcast, our experts share their thoughts on FINRA's 2022 expectations around AML, as well as challenges and best practices they have seen with our clients 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Many firms follow the best practice of using an independent firm every few years to conduct their annual testing. In this period high compliance turnover, the value of having an outside resource to carry some of the load, provide conflict-free validation and a fresh perspective makes sense. In today’s Oyster Stew podcast, our experts share their insights on the value of having an independent resource provide your testing.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Equity markets are changing so rapidly through products being offered, like digital assets, the technology used in trading, tracking and data management and the evolving regulations. In part 2 of the series,  Oyster’s experts, Buddy Doyle and Frank Childress take a peek into the history of the US equity markets so we can learn what questions to ask today.  

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Equity markets are changing so rapidly through products being offered, like digital assets, the technology used in trading, tracking and data management, and the evolving regulations. In today's podcast, Oyster’s experts, Buddy Doyle and Frank Childress take a peek into the history of the US equity markets so we can learn what questions to ask today.  

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Compliance for Phase 2e of CAT reporting will be effective July 11th, 2022.  This is a complicated linkage event and there are things firms should be doing to prepare.  In today's podcast, Oyster CEO, Buddy Doyle, and Oyster’s CAT expert Ralph Magee talk about the challenges our clients are seeing and things firms should be doing to be ready for this next phase. 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

One trend in the financial services industry that we've seen recently is a significant increase in turnover in Compliance staff.  Firms have challenges in quickly filling those roles. This podcast discusses this trend and what firms can do in order to mitigate the risks associated with this type of turnover.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

There are many things you just can’t learn from a book or from studying for an exam.  Join us for Part 2 of our look back at our popular series, ‘CCO – Behind the Scenes.  Take advantage of the practical experiences shared by Jeffrey Hiller, a former CCO for global investment firms and SEC investigator.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Financial services compliance continues to evolve, but there are many things you just can’t learn from a book. Join us for Part 1 of our lookback at our popular series, CCO Behind the Scenes. Take advantage of the practical experiences shared by Jeffrey Hiller, a former CCO for global investment firms and SEC regulator. 

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!