Join Oyster Consulting’s Harriet Britt at the San Francisco, CA Compliance Roundtable

The San Francisco California Compliance Roundtable began in 2010 as a small gathering of compliance professionals working together to share ideas and solutions regarding the evolving regulatory requirements. Today, dozens of compliance professionals, lawyers and compliance vendors meet to network and discuss current compliance issues. The Roundtable often features guest speakers, and provides a format… READ MORE

Increased SEC Asset Management Supervision: Portfolio Liquidity

In light of a recent announcement by SEC Chair Mary Jo White that the SEC plans to increase supervision of asset managers, Oyster Consulting will be providing a series of blogs on ways firms can mitigate risks, evaluate their services, and ensure policies and procedures are in place to protect their clients and themselves. Product… READ MORE

SEC Announces Plan to Tighten Supervision of Asset Managers

Securities and Exchange Commission Chair Mary Jo White recently announced a three-pronged Commission reform plan to tighten supervision risks of asset managers. While the plan is still in the developmental stages, asset managers should expect new regulatory control requirements for portfolio composition and operational risks to be rolled out. White defines portfolio composition risks as… READ MORE