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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

CAT Options Deadline

May 18
stock market chart

CAT 2b Options Deadline Phase 2b is the multi-phase Options reporting module for Large Industry Members (greater than $500k capitalization).  Similar to the Equity phase, the test environment for file submission will open in December 2019, but the production “go-live” for file submission will be on May 18, 2020.

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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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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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