Built To Scale with CRC-Oyster

Digital transformation touches so many different aspects of how firms operate, how they interact with customers and how they manage critical data and records.  In this episode of Oyster Stew, experts Jeff Wilk, David Altschul and Ed Wegener share best practices firms can deploy to begin their digital transformation.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

Customers now expect all forms of remote access and services, and firms are recognizing that these are now the staple of their customer experience, not the exception.  Internal innovation and agility are a must, as the shift in culture within firms also takes place. In light of these changes, this podcast provides an in-depth conversation about why digital transformation is so important.   CRC-Oys...

Today's technology and rate of change creates new challenges for firms of all sizes. They must keep up with the developments, navigate a constant environment of change, and do it all with a clearly articulated digital transformation plan.  This podcast episode provides an in-depth conversation about what is meant by digital transformation. CRC-Oyster: Compliance Risk Concepts / Oyster Consult...

In today’s environment of acquisition and consolidation, thinking about succession and how you can monetize your assets should be a part of your strategic planning process. In this Oyster Stew podcast, Oyster’s CEO Buddy Doyle and Dave Williams, Head of Business Development, share their insights on the value of strategically planning your exit.  CRC-Oyster: Compliance Risk Concepts / Oyster Consul...

Although T+1 isn't scheduled to be implemented until 2024, there are a lot of things firms need to take into consideration well beforehand.  In this Oyster Stew podcast, our experts, who all have extensive experience in trading and markets and conversions, share their insights on what firms should be thinking about at this stage and what steps can be taken to make sure they're ready.  CR...

Each year FINRA releases its Report on FINRA's Examination and Risk Monitoring Program, previously known as FINRA's Exam Priorities. In this Oyster Stew podcast, FINOP experts Jeff Harpel, Clark Tucker and Fred Wagstaff share their insights and thoughts on FINRA’s Financial Management priorities.    CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

FINRA's Consolidated Audit Trail reporting requirements  are steadily moving forward. Oyster experts provide an overview, discuss FINRA's CAT priorities, sweeps and pitfalls firms should avoid.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

 As you consider starting your own investment advisor, how to transition your book of business is always a hot topic for discussion. In today's podcast, Oyster experts Buddy Doyle, and Steve Anderson share their insights on Broker Protocol and other things to consider like employment agreements, commissions, and technology.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

Each year, FINRA releases its Report on FINRA's Examination and Risk Monitoring Program, previously known as FINRA's Exam Priorities.  In this podcast, Oyster experts Jeff Gearhart, Evan Rosser, Ralph McGee, and Frank Childress share their insights and thoughts on what firms should be doing around the Market Integrity portions of the report. This includes Consolidated Audit Trail (or CAT...

Oyster Consulting's experts give their insights on the 2022 Report on FINRA's Examination and Risk Monitoring Program. Topics include Reg BI, variable annuities, cybersecurity, Direct Business monitoring, SPACs, Private Placements and AML.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

 Whether you are starting and RIA or are already running one, there are keys to growing a prosperous business. In this Oyster Stew podcast, our experts share their insights and experience to help you grow your business.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

When you form your own RIA, you must establish what type of entity you want to be.  As part of our series on starting a Registered Investment Advisor, we’ll be talking about the different options and things to consider, like tax and cash flow ramifications, and the immediate, interim and long-term impacts of your choice. CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

Each year industry regulators produce what are generally known as Exam Priorities. In this podcast Oyster Consulting's Governance, Risk and Compliance experts Ed Wegener, Sarah Sutton, Evan Rosser and Jeffrey Hiller talk about them - where they come from, how they’re used by the regulators and how you can use them to assess your compliance program.  CRC-Oyster: Compliance Risk Concepts / Oyst...

Technology platforms impact nearly all aspects of your business, so selecting the right technology for your RIA is more than just choosing a custodian. Oyster's experts discuss defining what your firm needs, designing your technology processes around your business processes, and vendor due diligence, as well as other things to consider.     CRC-Oyster: Compliance Risk Concepts / Oyster Consul...

Learn how and when to start your own Investment Advisor Firm.  Experts Buddy Doyle, Sarah Sutton and Jay Donlin discuss licensing, what you need, registering with the SEC and choosing a custodian.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

 This podcast focuses on establishing your compliance program, part of our series on Starting Your RIA.  Our experts discusses the regulatory aspect of starting an RIA. There are some basic things you need to do to get started, as well as regulatory perspectives you should consider.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

Starting your own IA is exciting, but some of the steps to get there can be challenging. In this Oyster Stew podcast, our experts discuss what motivates people to start their own RIA, what’s involved from a high-level view, and some things we’ve seen that work and don’t work.   CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

Experts Rob Hall and Bob Milburn discuss the role of a Fractional CFO, what qualifications you should look for and when it makes sense to hire one.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

Clearing Conversions are an enormous undertaking. Oyster Consulting's experts Jay Donlin, Jim Roth, Tim Buckler and Pete McAteer share what drives them, what’s involved, and what makes a successful conversion.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

In part 5 of our Digital Asset Series we talked about Digital Tokens – what are they, and what are the nuances and differences you need to know? Today, Ed Wegener, Jeff Gearhart and Buddy Doyle weigh in on the future of Security tokens and what issues need to be addressed to keep moving forward.   CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

In previous episodes of our podcast series Cryptocurrencies and Digital Assets: The Wheels are Turning - Are You Up-to-Date? we’ve talked about cryptocurrencies and Stable coins, which of course are built on blockchain or distributed ledger technology. In this episode, Oyster’s Jeff Gearhart, Ed Wegener and Buddy Doyle discuss the nuances for determining if a digital token, whether it is a tokeniz...

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 transacti...

 Are cryptocurrencies and Stablecoins a currency or a security? Are they the digital gold some people say they are, or will they go the way of VHS and Betamax? Join Oyster Consulting’s Jeff Gearhart and Buddy Doyle as they continue their conversation in our series "Cryptocurrencies and Digital Assets: The Wheels Are Turning - Are You Up To Date?"  CRC-Oyster: Compliance Risk Concepts / O...

Welcome to our new series, Cryptocurrencies and Digital Assets: The Wheels are Turning - Are You Up-to-Date?   where we will discuss  regulations, the impacts on our markets and the securities industry, why cryptocurrencies are relevant and where they are going, as well as the implications of digital assets in the retail, securities and institutional space.  Hosted by Jeff Gearhart, today's e...