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January 2020

SIFMA Regulation Best Interest Vendor Forum

January 16 @ 12:00 pm - 5:00 pm
SIFMA Conference Center, 120 Broadway
New York, NY 10019-6119 United States
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isBy June 30, 2020, registered broker-dealers must comply with Regulation Best Interest; and broker-dealers and investment advisers registered with the SEC must prepare, file, and deliver to retail investors, a new customer relationship summary (Form CRS). To complement SIFMA’s Reg BI Implementation Guide, this event will provide attendees an overview of the implementation considerations, and the opportunity to interact with vendors and consultants who are developing the products, tools and services to help firms with implementation and ongoing compliance. Oyster…

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March 2020

SIFMA Compliance & Legal Annual Seminar

March 15 - March 18
JW Marriott Orlando, Grande Lakes, 404 Central Florida Parkway
Orlando, 32837 United States
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Oyster is proud to be a sponsor of the SIFMA  Compliance & Legal Annual Seminar.  Stop by Booth #403  - our consultants would love to learn more about your firm, and you can discover how Oyster can help. 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…

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April 2020

SIFMA Operations Conference & Exhibition

April 21 - April 24

  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…

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FMA – 2020 Securities Compliance Seminar

April 29 - May 1
Sheraton Suites Old Town Alexandria Alexandria, VA United States + Google Map

 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…

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May 2020

Buddy Doyle Speaks at NSCP National Conference

May 20 @ 11:30 am - 12:30 pm

Oyster CEO Buddy Doyle will be speaking at the NSCP National Conference on October 20, 2020.  The nature of the conference has yet to be decided (in-person or remote).  Buddy's session will explore the importance of having adequate, current, and relevant governance programs designed to monitor and manage interactions with a wide variety of vendors – including both affiliated and unaffiliated. Learning Objectives: Analyze and assess regulatory, reputational, and on-going business risks and their potential impact on governance programs Discuss…

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