The Consolidated Audit Trail (CAT) is Live

Eight years after the Security and Exchange Commission (SEC) adopted Rule 613, the Consolidated Audit Trail (CAT) has finally gone live for equity reporting as of Monday, June 22, 2020.  Options reporting will also go live on July 20, 2020. One significant change since the initial adoption of Rule 613 is the speed with which… READ MORE

New Podcast: Software Selection – Where Do I Start?

Many firms are looking to improve their bottom line, and one of the ways this can be done is by updating your software. But where to begin? How do you know if it will work for your firm? What will the implementation look like? What about hidden costs?  In this week’s episode of our Oyster… READ MORE

New Podcast: Resolving Operational Issues Uncovered During Acquisitions and Transformations

Trying to resolve issues and improve operational efficiency by aligning people and technology can lead to unexpected problems and mixed results. Whether your firm leadership wants to evaluate how the firm is running, the firm has recently undergone a merger or acquisition or is experiencing errors, losses or attrition, an Operational Assessment can increase efficiency, save your… READ MORE

New Podcast: Conducting Remote Supervision in Your Transitioning Workplace

Regulators expect both offsite and onsite monitoring of offices and employees due to the heightened risk inherent in remote arrangements.  The work-at-home orders issued by the States in response to the pandemic have created supervision challenges for firms.  While some consider the present state the “new normal,” no one really knows how and when this… READ MORE

New Podcast: Will There Be A Post-Pandemic Securities Litigation Wave?

When markets are volatile, history has shown us that there is often an increase in securities litigation,  In this week’s episode, Oyster’s General Counsel Patrick M. Dennis and Director Evan Rosser talk about past litigation trends in volatile markets and what they see coming as the pandemic continues to wreak havoc on the national economy and individual investments. Oyster… READ MORE

Jeffrey Hiller Joins Oyster Consulting

Jeffrey Hiller joins Oyster Consulting as a Managing Director of our Governance, Risk and Compliance team. Jeffrey’s experience developing and managing global and domestic compliance programs with international Investment Advisors will enhance the team’s ability to serve its clients with solutions to large and complex organizations, to solve compliance concerns and provide outsourced and expert… READ MORE