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

Oyster Consulting Hires Compliance, Risk and Audit Specialist

Financial Services consulting firm responds to industry need for compliance and operations outsourcing expertise   Brian Moran recently joined Oyster Consulting as a Director, expanding our ability to help industry members address risk, legal, operational, financial, sales practice and compliance issues with expertise in Trust Regulations, Federal Banking, OCC, and FDIC, SEC and FINRA Rules…. READ MORE

Webinar Recording Available: Emerging Technologies – Existing Regulations

In Case You Missed It… A recording is now available of the May 1, 2018 webinar, “Emerging Technologies – Existing Regulations,”  co-sponsored by Oyster Consulting and the NSCP. Innovation always outpaces regulation.  Firms have a constant struggle to balance the fear of being left behind by market innovators against the risk of a regulatory action. … READ MORE

Oyster Consulting (Bermuda) Presents AML Lecture: Designated Non-Financial Businesses & Professions

Oyster Consulting (Bermuda) Ltd. lecture focused on the Designated Non-Financial Businesses & Professions impacted by the 2016 Proceeds of Crime Amendment Oyster Consulting (Bermuda) Ltd Consultant Henry M. Komansky, J.D., presented another in his very popular series of lectures on 2nd November 2016 discussing the Designated Non-Financial Businesses & Professions impacted by the changes to… READ MORE

NSCP and Oyster Consulting Webinar: The MCDC Initiative

On June 18, 2015, the SEC released its first settlements with municipal securities underwriters on their continuing disclosure obligations under SEC rule 15c2-12, also known as “MCDC”. These come after firms self-reported violations of compliance with the rule last fall. It is estimated that hundreds of additional settlements may be in process. Join us on… READ MORE

Products, Technology, Service and Culture – Clearing Firm Decisions Impact Profits and People

The economic impact to retail broker-dealers of their clearing strategy – self clearing vs. fully disclosed and choosing the best provider – is larger than ever.  In recent years, rapidly changing market factors, regulatory challenges, and technology have resulted in competitive challenges that require investments to stay ahead or even just keep up. The decision… READ MORE

Oyster Consultants Featured in New Fund Operations Magazine and Website

Oyster Consulting Managing Director Donald Horwitz’s  article “New SEC Derivatives Proposal May Cause Collateral Damage” has just been published in the recently-launched Fund Operations magazine and website.  The article discusses this wide-ranging proposal and its potential consequences. “While Proposed Rule 18f-4 would bring some long overdue order to almost 40 years of commission and staff… READ MORE