Join Oyster Consulting’s Harriet Britt at the San Francisco, CA Compliance Roundtable

The San Francisco California Compliance Roundtable began in 2010 as a small gathering of compliance professionals working together to share ideas and solutions regarding the evolving regulatory requirements. Today, dozens of compliance professionals, lawyers and compliance vendors meet to network and discuss current compliance issues. The Roundtable often features guest speakers, and provides a format… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

Increased SEC Asset Management Supervision: Portfolio Liquidity

In light of a recent announcement by SEC Chair Mary Jo White that the SEC plans to increase supervision of asset managers, Oyster Consulting will be providing a series of blogs on ways firms can mitigate risks, evaluate their services, and ensure policies and procedures are in place to protect their clients and themselves. Product… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

SEC Announces Plan to Tighten Supervision of Asset Managers

Securities and Exchange Commission Chair Mary Jo White recently announced a three-pronged Commission reform plan to tighten supervision risks of asset managers. While the plan is still in the developmental stages, asset managers should expect new regulatory control requirements for portfolio composition and operational risks to be rolled out. White defines portfolio composition risks as… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

Hedge Fund Investor Group AOI Publishes Best Practice Principles

Hedge Fund Investor Group AOI Publishes Best Practice Principles Alignment of Interest Association (“AOI”) recently published guidelines to serve as a platform for discussion among hedge fund industry participants. Formed in 2008, AOI is an informal group of like-minded institutional investors who want fairer terms from hedge fund managers. Membership to the group is restricted… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

Oyster Consulting Hires George Jennison as President

Former Associate Director expands the executive team of the growing firm.   Oyster Consulting announced today that George Jennison has been named President. Prior to being named as President, George served as Associate Director, helping clients trade more efficiently and effectively while reducing operational risk, meeting regulatory reporting requirements, and serving customers’ needs. George brings… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

Municipal Issuers and Underwriters: Have You Made Your Continuing Disclosures?

Municipal Issuers and Underwriters: Have You Made Your Continuing Disclosures? What’s Happening: The SEC offered a safe harbor period until December 1, 2014 that allowed for self-reporting of failure to comply with MSRB Rule 15c2-12, or the Municipal Continuing Disclosure Cooperation Initiative (MCDC), and has recently solicited comments on the impact of the rule on… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+

ETMFs: Preparing for a New Breed of Funds

ETMFs: Preparing for a New Breed of Funds By: Julie Gibbs What’s Happening: The SEC recently approved investment management firm, Eaton Vance Corp’s, application to launch a new type of exchange-traded fund that is not required to disclose its holdings as frequently as traditional ETFs. Exchange-traded managed funds (“ETMFs”) are a hybrid of traditional exchange-traded… READ MORE

LinkedIn

RSS
Facebook

Twitter

Google+