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SEC Issues T+1 Risk Alert

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AI in Wealth Management

Artificial Intelligence (AI) in Wealth Management As the use of artificial intelligence (AI) becomes more and more prevalent, the wealth management industry is shifting towards more data-driven, personalized and secure services. However, regulatory concerns and risk management challenges remain as firms increasingly adopt AI technology. In this week’s Oyster Stew podcast, Oyster experts Casey Dougherty, […]

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FINRA CAT Reporting Deadlines Approach

As they approach the final compliance deadline in the multi-year implementation of the Consolidated Audit Trail (CAT), broker-dealers are encountering significant challenges in meeting reporting requirements. CAT Reporting Challenges and Observations Based on the latest data shared by FINRA CAT (FCAT) during the latest CAIS update call on March 27, 2024, the industry is exceeding […]

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