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March 2020
SIFMA Compliance & Legal Annual Seminar
For 52 years, SIFMA’s C&L Annual Seminar has served as the preeminent event for compliance and legal professionals working in financial services. Throughout the three-day program, participants hear directly from industry leaders and regulators on the latest developments and trends and build professional relationships to collaborate better. Oyster General Counsel Patrick M. Dennis and Associate Director Nikki Brinkerhoff will be attending. Patrick M. Dennis has been involved in the securities industry for over 30 years, most recently as one of…
Find out more »April 2020
SIFMA Operations Conference & Exhibition
Visit Oyster Consulting at Booth 203 or connect with our attendees at SIFMA’s 47th annual Operations Conference & Exhibition. This conference gathers operations, technology and regulatory leaders from across the securities industry for three days of discussions, addressing the industry’s most critical priorities. Whether you are considering exploring your clearing options, changing from self-clearing to fully-disclosed (or vice-versa), starting a broker-dealer, or just improving your current clearing relationship, Oyster will help you make the best decisions with a current state assessment of your business, supporting analysis to help drive decisions, and even walk you…
Find out more »FMA – 2020 Securities Compliance Seminar
Oyster Director Nikki Brinkerhoff will be speaking at the FMA 2020 Securities Compliance Seminar, April 29-May 1, 2020. This seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants, and program discussions and workshops are structured for peer-to-peer learning. Open discussion is encouraged to develop solutions to key industry challenges and regulatory “hot button” priorities. Nikki will be speaking on the…
Find out more »June 2020
Reg BI Implementation Deadline!
June 30, 2020 is is implementation deadline for Reg BI Getting help with the process of conflict identification, mitigation and disclosure, as well as updating policies and procedures will provide your firm with an objective view of conflicts and allows your team to continue meeting its regular compliance obligations with limited disruption. Our team of former General Counsels, Chief Compliance Officers, SEC, FINRA and State Regulators team up with our business consultants to create exceptional compliance programs. Oyster Consulting has the knowledge and experience…
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