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By Oyster Consulting LLC
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Article
As artificial intelligence (AI) becomes more embedded in wealth management operations—from client engagement and compliance to investment research and surveillance—firms must move beyond hype and take a strategic, risk-aware approach to implementation. AI has the potential to drive efficiencies, unlock new insights, and elevate the client experience—but only if it is built on a strong foundation. For […]
Broker-dealers rely heavily on their clearing firms for core operational functions. But clearing is no longer just about processing trades—it is a critical data source driving compliance and risk oversight. As regulatory expectations increase around reporting, surveillance, and monitoring, firms need to ensure that clearing data flows seamlessly into their compliance technology. Clearing Data as the Foundation of Compliance Every […]
Podcast
Understanding Account Type Recommendations Under Reg BI and the Advisors Act Account type recommendations remain one of the most closely scrutinized areas of regulatory oversight. Both the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have highlighted this issue in recent guidance and examinations, making it a critical area of focus for […]
