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By Oyster Consulting LLC
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Podcast
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, […]
Blog
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 […]
The North American Securities Administrators Association (NASAA) recently released its 2023 NASAA Enforcement Report, based on data provided by 48 U.S states and territories. The report found a significant increase in the number of investigations regarding internet, social media and digital assets matters. Rise in Internet, Social Media, and Digital Asset Scams NASAA’s report details a […]
