Oyster Consulting Associate Director Bill Reilly will be attending the NASAA Annual Conference in Seattle, WA September 26-28, 2017.
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 acts in an outsource capacity to assist firms in meeting their branch office examination cycles, leveraging his examination expertise and relationships with state and federal regulators and self-regulatory organizations. Bill also conducts FINRA Rule 3120 Examinations, annual examinations for investment advisers, third party independent reviews required by regulatory settlements and acts as an expert witness.
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.