New Podcast: 2020 Exam Priorities Letters – Part 1

In case you’re wondering what the regulators will be focusing on this year, they let you know when they publish their annual Exam Priorities Letters. This week’s episode of Oyster Stew is Part 1 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about what’s new, particularly around Reg BI and Form CRS requirements.

Future exam priorities podcast topics will include:

  • Market Integrity
  • Best Execution
  • Technology and Cybersecurity
  • Business Continuity Plans
  • Cash Management / Bank Sweeps

Oyster provides free resources such as podcasts and blogs, as well a team of consultants and software to help you organize and automate your compliance program. Oyster Consulting has the knowledge and experience to support your efforts to achieve compliance. To receive assistance with the implementation of your Reg BI compliance program, CAT implementation, or in understand the impact of regulatory rules, please give us a call at (804) 965-5400 and a Relationship Manager will be glad to connect you with an Oyster expert.