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March 2019

Oyster’s Brinkerhoff – Panelist at NSCP Canadian Compliance Roundtable

March 26
Nikki Brinkerhoff

Oyster's Associate Director Nikki Brinkerhoff will be a panelist at the NSCP Canadian Compliance Roundtable on Tuesday, March 26, 2019.  Nikki will be speaking on the 2019 SEC Exam Priorities. Nikki Brinkerhoff has over 20 years of expertise in Financial Services including the technology and operational controls required to achieve compliance and service delivery strategy.  She has extensive experience in Retail and Institutional broker-dealers, Dual registrant BD/RIA, investment banking, bank holding companies and international registrations for U.S. firms.  In addition…

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April 2019

Oyster Sponsors 2019 Schwab Compliance Solutions National Conference

April 3 - April 5
Peabody Hotel, 149 Union Avenue
Memphis, TN 38103 United States
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Join Oyster's Nikki Brinkerhoff, Molly Bryson and Gena Spitzer at the 2019 Schwab Compliance Solutions National Conference, April 3-5 in Memphis, TN. Visit our booth to learn more about how Oyster can help your firm stay ahead of the regulatory curve with its consulting and software services.

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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,  Pete McAteer, MJ Phillips and David Williams 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…

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2019 FINRA Annual Conference – Oyster’s Dennis, Rosser & Brinkerhoff Attending

May 15 - May 17
Mariott Marquis, Washington, DC, 901 Massachusetts Avenue NW
Washington, DC 20001 United States
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FINRA Annual Conference 2019

Oyster Consulting's General Counsel Patrick M. Dennis, Director Evan Rosser and Associate Director Nikki Brinkerhoff will be attending the FINRA Annual Conference in Washington, DC May 15-17, 2019.   FINRA's premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more. Patrick M. Dennis has been involved…

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