Every financial service organization can use a little help sometimes. Oyster has helped all types and sizes of broker-dealers build a better compliance program and keep abreast of the always changing regulatory landscape.
Oyster can assist your CCO in:
- Maintaining the compliance program to stay consistent with regulatory requirements
- Updating policies and procedures on a consistent basis, according to business changes and regulatory requirements
- Providing support for routine and difficult questions
- Testing (3120, AML, Branch Exams)
- Training and Education
- Support for regulatory matters
- Outsourced surveillance
- DOL Fiduciary Rule Assessments and Compliance
The Oyster Difference
When you have questions and need expert advice and practical solutions, Oyster provides more than just reactive support. Oyster takes a proactive approach to supporting your CCO. Our consultants will help your CCO filter through the regulatory noise to find relevant news and updates, make sure your firm is current on all proposed and final regulations, and stay ahead of the regulatory curve.