Selecting a Clearing Provider

In our previous blogs we discuss the things you should consider when deciding whether to change clearing platforms. Once you have assessed your needs and determined your firm’s direction around growth, recruiting and technology improvements, it’s time to begin the process of finding the best partner to help achieve your firm’s goals.   Make sure you have projected your business needs far enough into the future (5, 10 or 15… READ MORE

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Senior Consultant Bob Tuch Publishes Article “Conducting Effective Meetings with Investment Advisory Clients”

Oyster Consulting Senior Consultant Bob Tuch recently contributed his article, “Conducting Effective Meetings with Investment Advisory Clients” to Practical Compliance & Risk Management for the Securities Industry, a Wolters Kluwer publication.  Client meetings play an important role for financial services firms that provide investment advisory services to their clients. The initial meeting is extremely important for investment advisers because… READ MORE

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Things to Consider When Selecting a Clearing Partner

Once you complete the preliminary work of analyzing your current business state as described in our previous blog, it’s time to make a decision.  Maybe you have concluded that your current provider will not be able to support your growth plan, or they aren’t engaged in a way that makes financial and operational sense. Regardless,… READ MORE

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The Business Case for Evaluating your Clearing Partner

The economic impact to retail broker-dealers of their clearing strategy is larger than ever. Whether deciding between self clearing vs. fully-disclosed, or choosing the best provider when the answer is obvious, a thoughtful analysis and due diligence must be conducted to achieve your best results.  Much is riding on this decision in order to protect your firm… READ MORE

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Digital Assets – Where Are We Now?

Last week, JP Morgan announced the launch of “JPM Coin.”  We thought it would be good to recap our posts over the past year on the topic of cryptocurrencies and coin offerings and update you on the current state of this market.   As 2018 began, the market capitalization for cryptocurrencies and other digital assets had reportedly exceeded… READ MORE

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Should You Be Thinking about Your Clearing Platform?

Constantly changing market factors, evolving regulations, and advancements in technology have resulted in competitive challenges that are causing forward-thinking firms to determine the appropriate process, technology, financial and strategic investments to stay ahead or even just keep up. In a rapidly changing environment, the analysis to decide if it’s best to invest in your current platform or consider a different path should not be ignored or pushed too far into the future. One of… READ MORE

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Oyster Consulting Hires Compliance, Risk and Audit Specialist

Financial Services consulting firm responds to industry need for compliance and operations outsourcing expertise   Brian Moran recently joined Oyster Consulting as a Director, expanding our ability to help industry members address risk, legal, operational, financial, sales practice and compliance issues with expertise in Trust Regulations, Federal Banking, OCC, and FDIC, SEC and FINRA Rules…. READ MORE

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