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January 2019
Associate Director Bill Reilly Attends SIFMA C&L Society Breakfast
On January 25, 2019, Oyster Associate Director Bill Reilly will be attending the SIFMA C&L Society Breakfast in St. Petersburg, Florida. 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…
Find out more »Oyster Consulting/NDSE Sponsor Technology Webinar
On January 31st Oyster Consulting and Network Data Security Experts, Inc. (NDSE) will co-host an invitation-only Cybersecurity Roundtable in Richmond, Virginia. Among other items, topics discussed will include: Cybersecurity Solutions for Businesses Cybersecurity and the Financial Services Industry VoIP Issues Panelists: Buddy Doyle Michael Pfaff James McKinney Jay Ryerse Benjamin Blome CEO Director of IT & Sales Founding Partner/President CTO, Security Products Special Agent Oyster…
Find out more »March 2019
Oyster General Counsel & Managing Director Attending SIFMA C&L Annual Seminar
Join Patrick M. Dennis and Hank Sanchez during the SIFMA C&L Annual Seminar. They would love to chat with you about your firm and the compliance trends they are seeing in the industry.
Find out more »May 2019
CEO Buddy Doyle to Speak at Future Markets Association 2019 Securities Compliance Seminar
On May 2nd Oyster CEO Buddy Doyle will participate in a panel discussion of compliance issues for broker-dealers and investment advisors. Discussion topics will include: Broker-dealer reporting (FINRA Notice 18-20); Distribution OBA/Selling Away RIA Holding Reports Continuing Education Insurance 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…
Find out more »Oyster Consulting Sponsors Booth at 2019 SIFMA Operations Conference & Exhibition
Oyster Consulting is proud to sponsor a booth at the SIFMA Operations Conference & Exhibition in Boca Raton, Florida, May 6-9, 2019. Oyster Consultants Pete Bowman and Pete McAteer will be attending the conference, and would love to learn about your firm and its operations/technology needs. Or, stop by our booth and chat with our Relationship Manager. Pete Bowman has extensive executive and management experience advising on Brokerage Platform and Correspondent Clearing Alternatives. He began his career 35 years ago…
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