NSCP and Oyster Consulting Webinar: The MCDC Initiative

On June 18, 2015, the SEC released its first settlements with municipal securities underwriters on their continuing disclosure obligations under SEC rule 15c2-12, also known as “MCDC”. These come after firms self-reported violations of compliance with the rule last fall. It is estimated that hundreds of additional settlements may be in process. Join us on… READ MORE

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The DOL Fiduciary Rule: Time for Acceptance

In October 2010, the Department of Labor proposed a rule to redefine the label “fiduciary” and change the way retirement plans and IRAs address conflicts of interest. Last week, the rulemaking process came to an end. What followed was an avalanche of blogs, articles, press releases and interviews within the industry, tossing out terms like… READ MORE

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Products, Technology, Service and Culture – Clearing Firm Decisions Impact Profits and People

The economic impact to retail broker-dealers of their clearing strategy – self clearing vs. fully disclosed and choosing the best provider – is larger than ever.  In recent years, rapidly changing market factors, regulatory challenges, and technology have resulted in competitive challenges that require investments to stay ahead or even just keep up. The decision… READ MORE

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Oyster Consultants Featured in New Fund Operations Magazine and Website

Oyster Consulting Managing Director Donald Horwitz’s  article “New SEC Derivatives Proposal May Cause Collateral Damage” has just been published in the recently-launched Fund Operations magazine and website.  The article discusses this wide-ranging proposal and its potential consequences. “While Proposed Rule 18f-4 would bring some long overdue order to almost 40 years of commission and staff… READ MORE

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Former Cetera Advisory CCO Ami Shah Joins Oyster Consulting as Director

Financial services consulting firm expands into Houston RICHMOND, Va., March 29, 2016 — Oyster Consulting announced today it has hired Ami Shah, former Advisory CCO for Cetera Financial Group, Inc. The move expands the consulting firm’s U.S. presence, and continues Oyster’s ascent as a regulatory and compliance leader. Houston will be Oyster’s 15th U.S. location…. READ MORE

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NSCP and Oyster Consulting Webinar: The MCDC Initiative

On June 18, 2015, the SEC released its first settlements with municipal securities underwriters on their continuing disclosure obligations under SEC rule 15c2-12, also known as “MCDC”. These come after firms self-reported violations of compliance with the rule last fall. It is estimated that hundreds of additional settlements may be in process. Join us on… READ MORE

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Avoid the Most Common Mistakes on ADV Filings – Not Allocating Enough Time and Not Including the Business

Investment Advisors must file their annual ADVs no later than 90 days after the end of the firm’s fiscal year; for most firms this means March 30th. It’s hard to find people that like to complete the ADV, and procrastination is a significant factor in reducing the quality of filings. The ADV is an easy… READ MORE

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