Oyster Stew

Transcripts for the Hearing Impaired

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Click on the episodes below to open the PDF transcriptions:

September 23, 2020 – CCO – Behind the Scenes, Episode 2

September 16 – 2020 CCO – Behind the Scenes

Aug 20 – 2020 Leadership-Connecting the Dots in Todays Business Enviroment

Aug 5 2020 – Preparing for Modern Regulatory Exams

July 29, 2020 – Understanding Risk-Based Regulatory Exams

Jun 18,2020 – Retirement Planning Software Selection and Implementation Transcript

Jun 11 2020 – Software Selection – Where Do I Start?

Jun 3 2020 – Resolving Operational Issues Uncovered During Acquisitions and Transformations Podcast Transcript

May 20 2020 Conducting Remote Supervision in Your Transitioning Workplace

May 13 2020 Will There Be A Post-Pandemic Securities Litigation Wave

May 06 2020 – Your Transitioning Workplace – Don’t Lose Sight of the Moving Parts

April 29 2020 SEC Issues Anticipated Exemptive Relief for Consolidated Audit Trail (CAT)

April 16 2020 Annual Review Best Practices-Do You Know What to Look For Podcast Transcript

Apr 08 2020 – FINOP 2020 Exam Priorities – COVID 19 Impacts

Apr 02 2020 – Consolidated Audit Trail (CTA) – What You Should Be Doing

Mar 25 2020 Risk Assessments – Keeping Your Firm Focused

March 18, 2020 – When Outsourcing Your Clearing Platform Assessment, Selection and Implementation Processes Makes Sense

March 12, 2020 – COVID 19 and Your Business Continuity Plan

Mar 04, 2020 – Clearing Platform Selection and Implementation

Feb 27, 2020 – Should You Be Assessing Your Clearing Platform

Feb 19, 2020 – 2020 SEC & FINRA Exam Priorities Letters – Part 3

Feb 12, 2020 – 2020 SEC & FINRA Exam Priorities Letters – Part 2

Feb 05, 2020 – 2020 Exam Priorities Letters – Part 1

Jan 29, 2020 – Reg BI – What’s Required in Form CRS

Jan 22, 2020 – The NIST Privacy Framework – What It Is and What Your Firm Should Be Doing

Jan 14 2020 – Oyster Solutions Software – Making Your Annual Compliance Calendar and Review More Efficient and Effective

Jan 02 2020 – When Outsourcing Your CCO Role Make Sense

Dec 11 2019 – Should You Outsource Your FINOP Position

Nov 20 2019 – Advertising Rules – Enforcement Actions and the Impact of Reg BI

Nov 15 2019 – Mad Men Era Advertising Rule Changes Proposed

Nov 06 2019 Reg BI – The Compliance Obligation

Oct 30 2019 -Reg BI – The Disclosure Obligation

Oct 23 2019 -Reg BI – The Care Obligation

Oct 16 2019 – Reg BI – The Conflicts of Interest Obligation

Oct 09 2019 -Reg BI – It’s Bigger Than You Might ThinkJun 06 2019 – Reg BI – Now in Play