Events

Recording Available: Looking Out for the Baby Boomers: Are You Protecting Your Firm and Your Client?

The U.S. population is aging – in January 2011, thousands of Baby Boomers began turning 65 every day.   FINRA’s new rules to increase protections for vulnerable investors and to provide firms with guidelines to ensure these protections take effect February 5, 2018.  Is your firm ready to handle the issues that come with having senior clients? On… READ MORE

Starting Your Own RIA – What You Need to Know

January 24, 2018 at 3:00pm EST A recording of this webinar is now available RICHMOND, Va., Jan. 16, 2018 (GLOBE NEWSWIRE) — On Wednesday, January 24, Oyster Consulting LLC and Hirschler-Fleischer will host an interactive webinar on the key considerations for starting a registered investment adviser (RIA).  The attendee list will be kept confidential. Getting… READ MORE

Webinar Slides Available: Are You Ready for April? Training and Education Around the DOL Fiduciary Rule Change

  On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary.  The DOL Rule has expanded the definition of fiduciary advice and has created the best interest contract exemption (BIC Exemption) as the primary… READ MORE

Webinar Today! Are You Ready for April? Training and Education Around the DOL Fiduciary Rule Change

  On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary.  Among the steps that firms should be taking are preparing education and training plans for advisors/representatives, staff and clients. Please join us for… READ MORE

Oyster Consulting (Bermuda) Presents AML Audit/Sanctions Lecture

  Oyster Consulting (Bermuda) Ltd Consultant Henry M. Komansky, J.D., presented another in his very popular series of lectures on 7th September 2016 discussing the new requirement under the Bermuda Proceeds of Crime Amendment Act 2015 for AML audits as well as sanctions, with a focus on UK and Bermuda laws and regulations. On 1… READ MORE