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Should You Be Thinking about Your Clearing Platform?

Posted on February 19th, 2019 by Oyster Consulting

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

Former FTB Advisors CCO Joins Oyster Consulting

Posted on February 6th, 2019 by Libby Hall

Oyster responds to industry need for operations and compliance experts Nikki Brinkerhoff recently joined Oyster Consulting as an Associate Director, expanding Oyster’s Operations and Compliance practices. The move increases the firm’s ability to help industry members optimize operations and compliance functions, as well as design and implement technology solutions to improve operational excellence, improve… READ MORE

NASAA & FINRA Reports Point to Regulatory Expectations for Heightened Supervision

Posted on February 5th, 2019 by Bill Reilly

FINRA’s 2019 Risk Monitoring and Examination Priorities Letter was released last week. While the letter’s second paragraph lists areas of focus which are detailed throughout the report, the third paragraph includes a brief statement about how FINRA will focus on risk related to associated persons with a “problematic regulatory history”. Where there was not a… READ MORE

FINRA Notice 19-04 – 529 Share Class Self-Report Initiative

Posted on January 31st, 2019 by Oyster Consulting

On January 28th, 2019 the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 19-04, calling attention to FINRA concerns that firms may have failed to reasonably supervise share class selection in 529 plans. Specifically, customers may have purchased an “inappropriate” share class. FINRA encourages firms to review their controls and determine if any clients were… READ MORE

GDPR is in Effect – What Now?

Posted on January 15th, 2019 by Tim Buckler

If you had been listening to all the proclamations on May 25, 2018 when GDPR was to come into effect, you may have been surprised when it felt like any other Friday. GDPR came into effect quietly and no one was fined in all of 2018. Don’t take that to mean that European Data Protection… READ MORE

SEC Exam Priorities – Regulatory Focus in 2019

Posted on January 8th, 2019 by Oyster Consulting

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2019 Examination Priorities on December 20, 2018. While most of the topics are familiar, there are a few new items of note. OCIE has divided its priorities into four categories: Retail Investors, Including Seniors and Those Saving for Retirement OCIE will… READ MORE

Reg BI Article Published by Oyster Director Evan Rosser

Posted on October 25th, 2018 by Libby Hall

In April 2018, the SEC presented its long awaited rule proposal Regulation Best Interest (“Reg BI”) as a three-part regulatory package aimed at reforming the way that investment professionals serve retail investors. If enacted as proposed, Reg BI would impose upon broker-dealers an obligation to act in a retail customer’s “best interest” when recommending securities… READ MORE

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Ann Griffith, Esq.,Managing Director

Ann brings over 20 years of extensive experience in Investment Advisor, Broker/Dealer, Capital Markets, and international regulatory and compliance matters.

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