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Oyster Sponsors/Attends the Florida Securities Dealers Association Outreach Program
September 18, 2018
Oyster Consulting Associate Director Bill Reilly will be attending the Florida Securities Dealers Association Outreach Program in Tampa, FL on September 18th.
Bill leverages his examination expertise and relationships with state and federal regulators and self-regulatory organizations to guide broker-dealers and investment advisers through both proactive and reactive regulatory processes and compliance issues. Among others Bill conducts FINRA Rule 3120, Supervisory Control Reviews, Annual Compliance Reviews for federally and state-covered investment advisers, creates and/or updates policies and procedures for opening and monitoring senior and vulnerable adult client accounts, has been retained as an expert witness by by law firms representing industry participants in arbitrations and regulatory matters, updates policies and procedures for both broker dealer and investment advisers, and acts as an independent third party in reviewing firm activity prior to and as a result of regulatory actions and settlements.
To learn more about how Oyster can help your firm, complete our contact form or call (804) 965-5400 and one of our Relationship Managers will be happy to assist you.