New Podcast: 2020 Exam Priorities Letters, Part 2

This week’s episode of Oyster Stew is Part 2 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about Market Integrity, the Market Access Rule, and Best Execution requirements. Future exam priorities podcast topics will include: Technology and Cybersecurity… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

Do You Know Where Your Business Continuity Plan Is? Now is a Good Time to Look

Those of us in the risk management and compliance profession read the news a little differently than most optimists do.  We tend to ask ourselves, “How could this news have a negative impact on our business and our clients, and how severe would that impact be?”  Recently a few themes in the news have caught… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

New Podcast: 2020 Exam Priorities Letters – Part 1

In case you’re wondering what the regulators will be focusing on this year, they let you know when they publish their annual Exam Priorities Letters. This week’s episode of Oyster Stew is Part 1 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

CAT Testing – Don’t Lose Sight of Large Trader ID (LTID) and Phase 2c Deadlines

Many broker-dealers are in the process of preparing for access to the CAT reporting environment.  They are making sure data transmission lines are implemented and functioning correctly, evaluating data requirements and ensuring which data will be produced by which technology provider (where appropriate), and performing linkage testing to clarify ALL of their trade flow to ensure all… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

FINRA Notice – Heightened Terror Threat Risk

Last week FINRA posted a Notice to members outlining steps firms may consider taking to be prepared and respond to cyberattacks and other business disruptions.  The Notice was prompted by a Bulletin issued by the Department of Homeland Security (DHS), which noted that Iran and its partners have demonstrated the intent and capability to conduct… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

New Podcast Episode: Reg BI – What’s Required in Form CRS

As you work to complete your Form ADV, completing the Regulation Best Interest (Reg BI) Form CRS should also be on your list of things to do.  In this week’s episode of Oyster Stew, Oyster Senior Consultant Bob Tuch and Oyster Solutions Managing Director Polly Cordle discuss what’s required and how Oyster Solutions is helping… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

Consolidated Audit Trail (CAT) January 2020 Update

The first implementation phase of CAT reporting is fast approaching.   Industry members will begin reporting equity transactions in Phase 2a on April 20th and Options transactions in Phase 2b on May 18th. The initial reporting requirements are relatively straightforward and limited to syntax validation designed to meet the published FINRA Technical Specification.  The planned phased… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+