Built To Scale with CRC-Oyster

In this episode, Oyster experts share how Oyster Solutions Software can make your Annual Compliance Calendar and Review processes easier and more efficient using workflows and automated reporting . Oyster Solutions is one "solution" for many systems:  A system to track various workflows and processes across multiple departments. Advertising submission tracking including teaching your emp...

Deciding whether or not to outsource the Chief Compliance Officer role is an important decision. In this episode, our hosts discuss things you should consider when making this decision, including resource availability, experience, and interaction with regulators.    CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

Enjoy our holiday take on the popular 'Twas the Night Before Christmas poem as our fictional CCO realizes the benefits of hiring Oyster Consulting to assist with his regulatory exam.    Happy Holidays from Oyster Consulting! CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

If you are having trouble keeping up with your FinOP reporting, worried about making mistakes, or are a newly-licensed FinOP but need more experience, outsourcing the job, even temporarily, may be the answer. This week Oyster Founder and CFO Rob Hall and FinOP Consultants Jeff Harpel and Clark Tucker talk about what an outsourced FinOP  can do for your firm and common mistakes FinOPs make.    CRC-...

Oyster Consulting General Counsel Patrick M. Dennis and Independent Consultant Andy Favret discuss what makes an effective Expert Witness, as well as the typical industry cases they have participated in as an expert witness.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

In this episode, Part 2 of 2, Oyster Associate Director Bill Reilly and Senior Consultant Michelle Craft discuss relevant SEC enforcement actions around Advertising, and the impact Reg BI will have on Advertising policies and procedures, especially the use of titles.   CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

The SEC Advertising Rule hasn’t been amended since 1961 – a time before widespread use of desktop computers, cell phones, social media or even websites.  In this episode, Part 1 of 2, Oyster Associate Director Bill Reilly and Senior Consultant Michelle Craft discuss the proposed changes in detail and what firms should be thinking about when assessing their advertising materials.  CRC-Oyster: Compl...

In this episode, Oyster CEO Buddy Doyle, General Counsel Patrick M. Dennis and Managing Director Polly Cordle discuss the Reg BI Compliance Obligation and the core things firms should focus on to fulfill that obligation, including:  Products Advertising & Marketing Training CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

In this episode, Oyster experts discusses the Regulation Best Interest Disclosure Obligation - what it means for broker-dealers, advisors and dual registrants. Topics include disclosure and conflict examples, as well as Form CRS requirements.    CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

In this episode, Oyster Consultants Bob Tuch and Joe Sisti, along with Oyster's General Counsel Patrick M. Dennis, discuss the Regulation Best Interest (Reg BI) Care Obligation.   Bob and Joe touch on factors to consider when making recommendations, "Reasonable Available Alternatives," account selection and rollover recommendations. CRC-Oyster: Compliance Risk Concepts / Oyster Cons...

In this episode, Oyster CEO Buddy Doyle, and Consultants Bob Tuch and Bill Reilly discuss the Regulation Best Interest (Reg BI) Conflicts of Interest Obligation, including:  Identifying and assessing conflicts Disclosure, mitigation, elimination and monitoring New product review around conflicts Escalating conflicts  Conflict surveillance Disclosure reviews Training  Reg BI requirements touch on m...

(Recorded October 3, 2019) Reg BI is a bigger deal than you might think, and the implementation deadline is only 9 months away. This episode presents an overview of the four Obligations of Reg BI and what firms need to be doing.  Reg BI will affect many, many aspects of a firm's policies and operations, from marketing and advertising to compensation, recommendations and communications, to nam...

In this episode, Oyster's experts discuss Reg BI, including who will be affected and what firms can be doing now to prepare.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting