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Paraplanners can make a financial planner's work life easier and more productive. Join Bill Davis and Matt Thomson, Head of Training at MoneyGuide Pro, as they discuss the challenges financial planners and Advisors face in today’s market, and how having Paraplanners can help resolve some of these issues.   CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

Digital technology use has accelerated in the last 12 months in many areas, from education to exercise to the financial services industry. So what is digital transformation, and what does it mean for the financial services industry? Who will benefit and how?  Join our panelists Dave Altschul, Jeff Wilk, Jim Roth and Pete McAteer as they discuss these topics and more.  CRC-Oyster: Compliance Risk C...

 Regulatory settlement terms could require that the firm obtain the services of an independent third party to review and make recommendations for the firm to adopt and implement. While sometimes viewed with as an extension of the regulator, third party reviews may to your advantage during the settlement and pre-settlement process.  Listen to this episode as Oyster Consulting's Patrick M. Denn...

Don't be a findings in next year's FINRA Exam Priorities report. Join our FINOP and Finance experts Rob Hall, Clark Tucker and Jeff Harpel   as they discuss  the repeated and new findings and recommendations in FINRA's 2021 Examination and Risk Monitoring Program.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

In this episode of the Oyster Stew podcast, Oyster Consulting’s Buddy Doyle, Tim Buckler, and Ed Wegener continue their discussion on cybersecurity, with a focus on managing vendor risk. Learn why vendor risk assessments are crucial, how to address fourth-party risks, and the importance of tailoring these evaluations to the sensitivity of the data shared. The conversation also explores: Change man...

Cyber criminals have been active and the costs of compliance or, worse,  a security breach, continue to rise. Join our experts Tim Buckler , Ed Wegener and Buddy Doyle as they discuss ways your firm can mitigate internal and external cyber threats.   CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

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 cu...

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. ...

 Join Oyster CEO Buddy Doyle and consultants Ed Wegener,  Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss the importance of viewing the FINRA's 2021 Exam Priorities and your compliance program through a risk-based lens.   CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

For years FINRA has shared its priorities for the coming year, and 2021 was no exception.  This year, FINRA's higher expectations of Reg BI compliance are worth checking into, so you have a successful compliance program and exam.  Join Oyster CEO Buddy Doyle and consultants Ed Wegener,  Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss how making...

You’ve done the work to get ready for Reg BI…was it enough? Join Oyster CEO Buddy Doyle and consultants Ed Wegener and Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss regulators' expectations around Reg BI compliance in 2021, and how understanding and using FINRA's new Exam Priorities letter format can help you ensure your compliance progra...

For years FINRA has shared its priorities for the coming year, and 2021 was no exception.  However, this year's new format and FINRA's higher expectations are worth checking into so you have a successful exam.  Join Oyster CEO Buddy Doyle and consultants Ed Wegener,  Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss how the new format can hel...

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 ha...

Join Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes.  In each episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on document production and the value of cooperation with regulators, cultivating a culture of compliance and...

Join Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes.  In each episode, they share their experiences and perspectives as former regulators with the SEC, FINRA and the State of Florida, as well as experiences working as CCOs and consulting for clients on regulatory exa...

Join Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators - Behind the Scenes.  In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on Document Production and the importance of good communication with examiners.  CRC-Oyster: Compliance Ris...

Join Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators - Behind the Scenes.  In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on what happens with when regulators find a violation and how they deal with it. CRC-Oyster: Compliance Ris...

Join Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes.  In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on the best ways to manage and even improve your relationship with regulators.  CRC-Oyster: Compliance Risk...

On October 26, 2020 the SEC hosted a Reg BI/Form CRS roundtable event. Oyster CEO Buddy Doyle and Consultant Evan Rosser took this opportunity to add their input about where regulators are when enforcing Reg BI, and what we are hearing from our clients.  Reg BI is an ongoing compliance requirement, and now is the time for firms to take a look at the feedback from the regulator s, their customers a...

In this episode of CCO - Behind the Scenes, Jeffrey Hiller discusses what makes a good CCO, the importance of being a "straight shooter," giving bad news. Listen as Jeffrey shares his real experiences and lessons learned during his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just c...

Oyster Consulting often works with clients after they've been examined by the regulators, and the Market Access Rule (Rule 15c3-5) is no different. It's in your firm's best interest to take a proactive look at your Market Access program and get it in good order, before the regulators do. In this second of 2 podcasts covering the Market Access Rule, Oyster Consultants Joe Sisti and E...

In this episode of CCO - Behind the Scenes, Jeffrey Hiller talks about what "Tone at the Top" means, and why it's important to embed the Compliance Department within the firm.   Listen as, during these short discussions, Jeffrey shares his real experiences and lessons learned during his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC&...

The Market Access Rule (Rule 15c3-5) remains on FINRA's priority list - they provided guidance on the rule and initiated enforcement actions against firms struggling to adhere to it. Oyster Consulting often works with clients after they've been called to the carpet by the regulators. It's in your firm's best interest to take a proactive look at your Market Access program and ge...

Join Oyster Consulting's Jeffrey Hiller in his new podcast mini-series, CCO - Behind the Scenes, as he shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just checking boxes.  Listen and learn in these short discussions as Jeffrey shares his real experiences and lessons learned. In...

Join Oyster Consulting's Jeffrey Hiller in his new podcast mini-series, CCO - Behind the Scenes, as he shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just checking boxes. There are office politics to navigate, nuances to dealing with regulators and board members, and of course,...