Oyster Consulting Expands New York Office, Hires Former RBC Capital Markets General Counsel Richard T. Chase
Increased spotlight on trading and markets sector spurs growing financial industry consulting firm to hire former RBC Capital Markets Specialist
Oyster Consulting announced today it has hired Richard T. Chase to be a Managing Director of its New York office. The move continues Oyster’s expansion as a regulatory and compliance leader, enhancing its ability to help broker-dealers, exchanges, and investment advisors respond to increasing SEC and FINRA expectations regarding trading and conduct rules.
Chase is the former Chief Compliance Officer and General Counsel of RBC Capital Markets, LLC, the U.S. broker-dealer arm of the Royal Bank of Canada. As the senior lawyer for RBC’s U.S. capital markets business, he was responsible for the regulatory, compliance and legal issues of a diversified capital markets platform. His expertise includes proprietary, algorithmic, structured products and derivatives, as well as investment banking, research and equities and fixed income sales and trading. Previously, Chase served as the head of regulation at the American Stock Exchange and Philadelphia Stock Exchange, overseeing surveillance, examination and enforcement functions. He also served as the head of Equities Compliance for Lehman Brothers.
“Richard brings decades of experience in the capital markets arena, including sales and investment banking,” explains George Jennison, Oyster Consulting President. “His skills will elevate Oyster’s service offerings related to sales and trading, research, investment banking and market structure.”
Chase said, “I am delighted to join the growing team of financial services industry experts at Oyster and look forward to contributing my experience providing in-house legal, compliance and regulatory support, particularly in the capital markets arena to Oyster’s compliance, financial, technology and trading practice areas.”
ABOUT OYSTER CONSULTING
Oyster Consulting supports financial services firms with audit, regulatory, compliance, financial, strategic management, operations, trading and technology consulting services, creating simplicity in a complex environment. Oyster’s team brings over a thousand years of combined experience as senior executives, program managers, developers, business analysts and subject matter experts. Oyster’s practical solutions help broker-dealers, investment advisors, hedge funds, mutual funds, ETFs, high-frequency trading firms, private equity firms and exchanges protect and grow their businesses.
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