New Podcast: Preparing for Modern Regulatory Exams

modern regulatory examThe pandemic has changed how firms operate as offices close and staff work from home. Regulators have also had to change their examination practices to accommodate these changes.  In this episode, Oyster Managing Director Ed Wegener, a former SVP and Midwest Regional Director of FINRA, shares his insider views on:

  • the changes in the regulator’s examination program
  • the kind of the people that are doing examinations
  • what firms should expect when an examiner walks in now.

 

Click here to contact us or call (804) 965-5400 to learn more about how to protect your employees while achieving regulatory compliance and industry best practices.  In addition to our consulting, outsourcing and software solutions, Oyster offers a number of free resources including blogs and podcasts.

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