New Podcast: The Consolidated Audit Trail (CAT) – What You Should Be Doing Now

On March 16, 2020 the SEC announced no-action relief to allow Participants to delay implementation of Consolidated Audit Trail (CAT) until May 20, 2020.  This announcement comes as the industry deals with disruptions as a result of COVID-19, and members must make difficult prioritization decisions around staff required to implement CAT. This is an excellent opportunity… READ MORE

New Podcast: Risk Assessments – Keeping Your Firm Focused

Our March 25th episode of Oyster Stew features Oyster CEO Buddy Doyle and Polly Cordle, Managing Director of Oyster Solutions Software, discussing the importance of risk assessments, especially in today’s volatile financial situation.  Included are best practices for creating and maintaining risk assessments, regulatory reporting around risk, and how Oyster Solutions Software makes maintaining and reporting risk assessments easy. Understanding… READ MORE

New Podcast: Why Outsourcing Your Clearing Platform Assessment, Selection and Implementation Processes Makes Sense

Whether you are considering exploring your clearing options, changing from self-clearing to fully-disclosed (or vice-versa) or starting a broker-dealer, Oyster will help you make the best decisions with an assessment of your business, analysis to help drive decisions, and even walk you step-by-step through a vendor selection and conversion processes. In this week’s episode of… READ MORE

New Podcast: COVID-19 and Your Business Continuity Plan

In light of the evolving progression of the COVID-19 virus, today’s podcast “COVID-19 and Your Business Continuity Plan” discusses what firms should be considering when it comes to their Business Continuity Plan.  Are you ready to provide the critical services to your clients if you must close your business during a quarantine?  What if 20%… READ MORE

New Podcast: Clearing Platform Selection and Implementation

The analysis to decide if it’s best to invest in your current platform or consider a different path should not be ignored or pushed too far into the future. In this week’s episode of Oyster Stew, Part 2 of a 3, Managing Director Pete McAteer discusses what you should do after you’ve identified any gaps… READ MORE

New Podcast Episode: Should You Be Assessing Your Clearing Platform?

Competitive challenges are causing forward-thinking firms to determine the appropriate process, technology, financial and strategic investments to stay ahead or even just keep up. the analysis to decide if it’s best to invest in your current platform or consider a different path should not be ignored or pushed too far into the future. In this… READ MORE

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