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By Oyster Consulting LLC

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Key Steps for Wealth Management Firms Integrating AI 

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The Intersection of Clearing and Compliance Technology 

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 […]

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Account Type Recommendations: Meeting Reg BI and Fiduciary Standards

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 […]

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