oyster consulting

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!

We’ve talked about cryptocurrencies and Stable coins, which of course are built on blockchain or distributed ledger technology. That technology means changes are coming on the back end of the industry, including the potential removal of transaction intermediaries.    

In this episode, Oyster’s Jeff Gearhart and Buddy Doyle continue their conversation, this time around what the removal of transaction intermediaries means, who it impacts and what we are already seeing in the industry.   

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!

Introducing brokers must look down the road when considering economics and profitability,  whether it is looking at a neglected clearing firm contract, or considering consolidation, succession and other alternatives to fulfill future needs.  Join our panelists David Williams, Jay Donlin, Dave Osborne and Jim Roth as they talk about what they are seeing in these areas, how firms are handling the current environment and how they are looking toward the future. 

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!

Competition, regulations, technology and reduced margins may be reducing your broker-dealer's bottom line. How do you continue to thrive in this environment?  The answer may be right in front of you - your clearing firm.  Join our panelists David Williams, Jay Donlin, Dave Osborne and Jim Roth as they talk about how maximizing your clearing firm's capabilities can help your bottom line. 


 

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!

Join Oyster Consulting's Buddy Doyle, Jeffrey Hiller, Evan Rosser and Ed Wegener as they provide insight on the current regulatory expectations and requirements around remote inspections, as well as things you should consider when preparing for an exam.  Oyster's consultants have been conducting remote testing for clients for years.  Jeffrey, Evan and Ed are all former regulators, and have been on both sides of the issue when it comes to remote inspections.  

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!