regulatory exams

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!

The pandemic has changed how firms operate, and regulators have had to change their examination practices to accommodate remote offices and staff.  In this episode, Oyster Managing Director Ed Wegener, who was a former SVP and Midwest Regional Director of FINRA, shares his insider views on:

• the changes in the regulator's examination program
• the kind of the people that are doing examinations
• what firms should expect when an examiner walks in now 

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!

For financial services firms registered with regulatory bodies, regulatory exams have instilled the gamut of emotions from annoyance to anxiety, to outright fear. Fortunately, much of this could be mitigated with a better understanding of the exam process, the necessity for robust risk assessments, and by nurturing the firm's relationship with it's regulatory contact.  This week's episode features Oyster Managing Director Ed Wegener, formerly a SVP and Midwest Regional Director of FINRA discussing risk assessments and how FINRA is using those assessments to help determine the scope, depth, breadth and frequency of their examinations of broker-dealers. 

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!