- This event has passed.
Oyster Sponsors Florida Securities Dealers Association Outreach Program
October 3, 2019
Oyster is sponsoring the FSDA Out reach Program on October 3, 2019 in Boca Raton, FL. The Outreach program’s objective is to provide important and timely information to the attendees (members of the industry) who are charged with meeting the many challenges facing the industry. Panels include Cryptocurrencies and Securities Regulation in the Digital Age and SEC’s Regulation Best Interest.
Oyster Associate Director Bill Reilly will be attending. 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 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.