New Podcast: 2020 Exam Priorities, Part 3

This week’s episode of Oyster Stew is Part 3 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about Technology and Cybersecurity, Business Continuity Plans, Cash Management and Bank Sweeps. Oyster provides free resources such as podcasts and blogs, as well a… READ MORE

New Podcast: 2020 Exam Priorities Letters, Part 2

This week’s episode of Oyster Stew is Part 2 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about Market Integrity, the Market Access Rule, and Best Execution requirements. Future exam priorities podcast topics will include: Technology and Cybersecurity… READ MORE

New Podcast Episode: Reg BI – What’s Required in Form CRS

As you work to complete your Form ADV, completing the Regulation Best Interest (Reg BI) Form CRS should also be on your list of things to do.  In this week’s episode of Oyster Stew, Oyster Senior Consultant Bob Tuch and Oyster Solutions Managing Director Polly Cordle discuss what’s required and how Oyster Solutions is helping… READ MORE

New Podcast: The NIST Privacy Framework

NIST (National Institute of Standards and Technologies) published in January 2020 its Privacy Framework, “a voluntary tool developed in collaboration with stakeholders intended to help organizations identify and manage privacy risk to build innovative products and services while protecting individuals’ privacy.”  In this week’s Oyster Stew podcast, Oyster Consultant Tim Buckler explains what the Privacy… READ MORE

New Podcast Episode: Oyster Solutions Software – Making Your Annual Compliance Calendar and Review More Efficient

  In this week’s episode of Oyster Stew, Managing Director Polly Cordle and Consultant Gray Houghton share how Oyster Solutions Software can make managing your compliance calendar and Annual Review processes easier and more efficient using workflows and automated reporting. Oyster Solutions is one “solution” for many systems:  A system to track various workflows and… READ MORE

CAT Connectivity Deadlines – Establish Connectivity Methods and Be Ready for Testing

FINRA CAT, LLC hosted two industry webinars concerning CAT Connectivity on August 29th and September 26th, 2019 which provided a summary of CAT interfaces and connectivity methods.  Three connection methods for file submittal were outlined for Industry Members (IMs). Private Line provided by a Managed Network Service Provider (MNSP) After an industry RFP, CenturyLink was… READ MORE