Broker-Dealer Testing
Establishing, testing and documenting your controls is an ongoing process. Your firm’s controls need to be regularly reviewed: Are your parameters properly set? Are you controlling the right processes? Are the controls are working as designed? Oyster’s team of CCOs, former regulators and compliance experts provide the independent perspective you need to ensure your Supervisory, Anti-Money Laundering (AML), Market Access and Email Retention System controls are tested regularly and that the proper design and function of those controls is correct.
Branch exams are also a critical part of every Broker-Dealer’s system of compliance and controls. Oyster provides both on-site branch office examinations, outsourcing and program development assistance to improve your control environment.