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Attending NASAA Annual Conference
September 11, 2016 - September 13, 2016
Oyster Associate Director Bill Reilly will be attending the NASAA Annual Conference in Providence, RI on September 11-13, 2016. Bill assists industry firms with developing Written Supervisory Procedures (WSPs) for broker-dealers and Policies and Procedures (P&Ps) for investment advisers, as well as providing in-house firm training for dealing with vulnerable adults and senior clients. Included in these WSPs and P&Ps are procedures for complying with state regulations for addressing client disbursement holds when financial exploitation of the client is suspected. Bill also acts in an outsource capacity to assist firms in meeting their branch office examination cycles.
To learn more about how Oyster can assist your firm with its regulatory compliance, complete our contact form and one of our Relationship Managers will be happy to help you.