Best Ex Review

Scope will include assisting the Firm in reviewing and updating the Firm’s testing and quality assurance policies and procedures regarding best execution requirements and provide updates to their current BD and IA procedures manuals as well as desk procedures to execute testing and QA activities.

Additionally, Oyster will provide industry best practices and support the analysis to determine if solutions exist to streamline the best execution reviews. Oyster will work with the Firm’s Chief Compliance Officer (“CCO”), Compliance and Operations management to review and amend as necessary the relevant written supervisory procedures, or other policies and procedures.