Oyster LLC Logo

Consulting Outsourcing Software

Loading Events

« All Events

  • This event has passed.

Attending the Joint SIFMA/FSDA Breakfast Meeting

November 18, 2016 @ 8:00 am - 12:00 pm

Event Navigation

Bill Reilly

On November 18, 2016 Oyster CEO Buddy Doyle and Associate Director Bill Reilly will be attending the Joint FINRA/FSDA (Florida Securities dealers Association) Breakfast Meeting in St. Petersburg, FL.

Buddy Doyle is a passionate and innovative executive and has been in the securities industry for over 25 years. Over the past eight years, he and his team have built an award winning organization with 50 employees serving hundreds of clients in the United States, Bermudian and European financial industries.  Prior to starting Oyster Consulting, Buddy was a Senior Vice President at Wachovia Securities LLC (now Wells Fargo Advisors) where he held leadership roles in that growing organization in Operations, Finance, Commodities, Technology, Compliance and the Private Client Group. He gained experience working with both small and large firms by starting his career at Wheat, First Securities in 1987, when the firm had 50 offices and 500 brokers in the Mid-Atlantic region. Through 10 acquisitions and mergers, the firm evolved into one of the largest in the United States.

Bill joined Oyster Consulting in 2012 after a more than 30-year distinguished career with the Florida Division of Securities and Office of Financial Regulation. Bill leverages examination expertise and relationships with state and federal regulators and self-regulatory organizations when guiding clients through both proactive and reactive regulatory processes and compliance issues.  Services provided by Bill  include, among others, representing clients before the SEC, FINRA and state regulators to resolve registration and sales practice issues; developing and updating Written Supervisory Procedures for broker-dealers and Policies and Procedures Manuals for investment advisers; conducting third party examinations in conjunction with regulatory settlements; conducting FINRA Rule 3120 examinations for broker-dealers; conducting gap analysis and annual examinations for broker-dealers and investment advisers; providing guidance on the assessment, implementation, training, review process and creation of WSPs for the Department of Labor Fiduciary Rule for broker dealers; conducting branch office examinations required by state regulation; and, being retained as an expert witness to provide testimony in arbitrations and administrative proceedings.

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.

Details

Date:
November 18, 2016
Time:
8:00 am - 12:00 pm
Event Category:
Event Tags:
, , , , , , , , , , , , ,