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Attending the FIA Futures & Options Expo in Chicago

October 18, 2016 - October 20, 2016

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Oyster Managing Director Don Horwitz and Director Dean Pelos will be attending the FIA Futures & Options Expo in Chicago, October 18-20, 2016.

During his thirty-plus years in the industry, Don Horwitz focused on assisting futures commission merchants (FCMs), broker-dealers, derivatives exchanges and their central counterparty clearinghouses (CCPs). He served as general counsel and/or chief compliance officer to three FCMs (through mergers and acquisitions), president of a broker-dealer and several developing exchanges. He provided comprehensive legal, regulatory and strategic advice to those organizations’ chief executive officers and boards of directors. He was also called upon regularly to manage and resolve discrete and sensitive situations. Currently he is advising a designated contract market and several CPO’s and CTA’s with market regulation and compliance. He is also working with member NFA firms on their compliance with the NFA’s Information Systems Security Policies.
With over 30 years of experience as a financial services professional, Dean has extensive experience helping firms maintain regulatory compliance, grow sales, and control costs. Dean has a strong background in compliance for investment advisers and broker-dealers and additional experience specializing in regulatory compliance for investment companies. He also works with both broker-dealers and investment advisers providing CCO Support, conducting annual reviews, mock audits and gap analysis. Dean has also led institutional sales, trading departments and has supervised back office and clearing matters on institutional and retail levels. Prior to being an Investment Manager at LaSalle St. Securities, Dean was CCO at Sterling Investment Services, Inc., where he led the firm’s strategic efforts including establishing and maintaining the compliance program, supervising trading operations, and managing the affairs of the broker-dealer.
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.