Built To Scale with CRC-Oyster

The markets continue to evolve, and so do the products offered to investors. In today’s market ESG investing remains a hot topic for clients, regulators and in the news. Deciding whether or not to offer ESG products requires strategic planning, risk measurement and compliance. In today’s podcast Oyster CEO Buddy Doyle along with consultants Bill Reilly and Jeff Wilk share what they have seen in th...

In our previous podcast our experts shared why they use risk assessments and the benefits having a risk assessment can provide.  In today’s Oyster Stew podcast, Oyster’s experts share best practices and ways to leverage your risk assessment to strengthen your compliance program.     CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

Regulators have been approaching their exams and regulatory requirements from a risk-based perspective, and use those assessments to evaluate how firms are controlling for the risks they have.     In today’s podcast, Part 1 of 2 about using Risk Assessments as a tool in your compliance program, Oyster’s experts share why they use risk assessments and why you should, too.  CRC-Oyster: Compliance Ri...

In our previous podcast about strategic planning for 2023, Oyster Consulting CEO Buddy Doyle and Head of Business Development David Williams talked about challenges we are hearing from our clients, from managing the effects of industry trends and technology to succession planning.  In today’s Oyster Stew podcast, Buddy and Dave continue their conversation, sharing their thoughts on recruiting top...

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 Da...

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 see...

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.    CRC-O...

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.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

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...

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 ca...

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. CRC-Oyster: Compliance Risk C...

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.   CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

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.  CRC-Oyster: Compliance Risk Concepts / Oyster Consult...

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.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

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.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

T+1 is currently slated for implementation in 2024, and if you aren’t planning for it now, you’re probably late.  T+1 is more than a technology compression event – it will also require behavioral changes on both the buy and sell sides. In today’s Oyster Stew podcast, experts Jeff Gearhart, Frank Childress and Jose Fernandez share the six things your firm should be doing to prepare for implementati...

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  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

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 resou...

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.   CRC-Oyster: Compliance Risk Concepts / O...

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.   CRC-Oyster: Compliance Risk Concepts / O...

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.  CRC-Oyster: Compliance Risk C...

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. CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

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. CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

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.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

There are significant changes happening across so many different facets of our industry, and often at a relatively high velocity.  Whether it's social or technological, the advisory focused landscape or regulatory challenges, now is the opportunity for all of us to take a more strategic look at your business. In this Oyster Stew podcast, our experts discuss the many circumstances that cause t...