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January 2019

Associate Director Bill Reilly Attends SIFMA C&L Society Breakfast

January 25
Raymond James Financial, 880 Carillon Parkway
Saint Petersburg, Florida 33716
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SIFMA C&L Florida

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…

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Oyster Consulting/NDSE Sponsor Technology Webinar

January 31 @ 3:00 pm - 5:00 pm
The Frontier Project, 3005 W. Marshall Street
Richmond, VA 23230 United States
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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…

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March 2019

Oyster General Counsel & Managing Director Attending SIFMA C&L Annual Seminar

March 24 - March 27
JW Marriott Phoenix Desert Ridge, 5350 East Marriott Drive
Phoenix, AZ 85054 United States
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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.

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May 2019

CEO Buddy Doyle to Speak at Future Markets Association 2019 Securities Compliance Seminar

Buddy Doyle, CEO, Oyster Consulting

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…

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Oyster Consulting Sponsors Booth at 2019 SIFMA Operations Conference & Exhibition

May 6 - May 9
Boca Raton Resort and Club, 501 East Camino Real
Boca Raton, FL 33432 United States
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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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