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June 2020

Reg BI Implementation Deadline!

June 30

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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September 2020

2020 NASAA Virtual Annual Meeting

September 1 - September 2

Join Oyster Consulting Associate Director Bill Reilly at the 2020 NASAA Virtual Annual Meeting.  Topics will include: Reg BI: Two Months In – Is This Standard Delivering on Its Promise? Recent Developments in Corporation Finance Ensuring Quality Advice in Uncertain Times: Continuing Education and Evolving Fee Models Protecting Seniors During Times of Increased Social Isolation What’s new in the world of CRD/IARD Developments and Trends in Enforcement

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SIFMA Compliance & Legal Virtual Forum

September 23 - September 24

Hosted by the SIFMA C&L Society, hear industry leaders’ perspectives on the current regulatory and enforcement environments, lessons learned thus far, and much more.  Oyster's Patrick Dennis will be attending. Topics will include: Leadership Matters: Meaningful, Measured Impact in Diversity and Inclusion Impact of COVID-19: Lessons Learned for Compliance and Legal Professionals Ethical Considerations and Current Developments in Diversity & Inclusion Compliance and Legal Challenges of Social Media and New Communications Technology Establishing and Maintaining a Robust Cross-Border Program Civil…

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October 2020

FSDA Outreach Virtual Conferences

October 8

In place of the in-person event on October 8, 2020, the FSDA will launch the first of three live streamed events. The FSDA Industry Outreach Program series kicks off on October 8, 2020, at 9:00 AM with the keynote speaker who will be taking on the hot topics — market trends, resiliency and the effect the November election will have on the market, followed by a conversation with Office of Financial Regulation Commissioner Russell Weigel. The months of November and…

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Buddy Doyle Speaks at NSCP National Conference

October 19 - October 21

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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