Operations & Technology

Former FTB Advisors CCO Joins Oyster Consulting

  Oyster responds to industry need for operations and compliance experts   Nikki Brinkerhoff recently joined Oyster Consulting as an Associate Director, expanding Oyster’s Operations and Compliance practices. The move increases the firm’s ability to help industry members optimize operations and compliance functions, as well as design and implement technology solutions to improve operational excellence, improve… READ MORE

FINRA Notice 19-04 – 529 Share Class Self-Report Initiative

On January 28th, 2019 the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 19-04, calling attention to FINRA concerns that firms may have failed to reasonably supervise share class selection in 529 plans.  Specifically,  customers may have  purchased an “inappropriate” share class. FINRA encourages firms to review their controls and determine if any clients were… READ MORE

GDPR is in Effect – What Now?

If you had been listening to all the proclamations on May 25, 2018 when GDPR was to come into effect, you may have been surprised when it felt like any other Friday.  GDPR came into effect quietly and no one was fined in all of 2018. Don’t take that to mean that European Data Protection… READ MORE