Senior Consultant Bob Tuch Publishes Article “Conducting Effective Meetings with Investment Advisory Clients”

Oyster Consulting Senior Consultant Bob Tuch recently contributed his article, “Conducting Effective Meetings with Investment Advisory Clients” to Practical Compliance & Risk Management for the Securities Industry, a Wolters Kluwer publication.  Client meetings play an important role for financial services firms that provide investment advisory services to their clients. The initial meeting is extremely important for investment advisers because… READ MORE

Should You Be Thinking about Your Clearing Platform?

Constantly changing market factors, evolving regulations, and advancements in technology have resulted in competitive challenges that are causing forward-thinking firms to determine the appropriate process, technology, financial and strategic investments to stay ahead or even just keep up. In a rapidly changing environment, 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. One of… READ MORE

Cryptocurrencies and the Regulatory Challenges Around Them

The complexity and global popularity of cryptocurrencies, or digital assets, has initiated cooperative efforts between the SEC and CFTC to understand and regulate these products. The agencies have jointly testified before Congress and displayed interest in developing meaningful regulations; both agencies have promised additional working groups to pursue joint regulations. On January 24, 2018, the… READ MORE

FINRA 2018 Renewal Calendar – It’s Time to Fund Your CRD Account

It’s that time again—Thanksgiving is around the corner, football season is in full swing and FINRA has published its 2018 Renewal Calendar.  Firms are required to renew their registrations annually through the Renewal Process, which begins in the fourth quarter of each year. The 2018 Renewal Program begins today November 13, 2017, when FINRA makes… READ MORE

Former Wealthcare Capital Management COO Schafer Joins Oyster as Director

Oyster Consulting welcomes Terry Schafer as a Director, expanding our Trading and Markets and Operations and Technology practices. The move increases our ability to help broker-dealers and investment advisors translate business, legal and regulatory requirements into workable business policies, processes and technology solutions. Schafer has 30 years of experience in financial services focused on investment… READ MORE