Media Contact:
Libby Hall, Communications Analyst
libby.hall@oysterllc.com
804.521.6022
Published Articles
Technology & Digital Assets
Digital Asset Regulatory Challenges – Bill Reilly, NSCP Currents Magazine, July, 2018
Oyster Consulting – CIO Outlook Top 10 Hedge Fund Technology Solutions Provider – Buddy Doyle, CIO Outlook Magazine, September, 2018
FINRA Digital Advice and the Robo-World – NSCP Currents, April, 2016.
SEC Could Start Issuing More Exam Fines for Poor Cybersecurity Controls — Buddy Doyle — Intra Links Fund Space, Return to Cybersecurity Update, October 13, 2015
“Best Practices for Selecting Governance Risk and Compliance Software” – Shannan Layette, Pete McAteer, Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer, July 1, 2014
Senior Investors & Vulnerable Adults
Protection of Seniors from Financial Exploitation – Congress Enacts the Senior Safe Act – Bob Tuch – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer. September/October, 2018
The SEC’s ReTIRE Initiative: An Examination Initiative Focused on Products and Services Provided to Retail Investors Saving for Retirement – Bob Tuch – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer, Vol. 9 No. 1, January/February 2016
Compliance
Regulation Best Interest – What it is and What Happens Next – Evan Rosser – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer. September/October, 2018
SEC 2017 Exam Priorities White Paper February, 2017
The SECS 2017 Priorities: What They Are and What Compliance Professionals Need to Know– NSCP Currents, February, 2017.
“Compliance Challenges for Dually-Registered Firms” – Bob Tuch – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
“FINRA expected to adopt CARDS despite local industry resistance” – Evan Rosser (quoted) – Investment News article
“A Practical Guide for Handling Legacy Data” – Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
“Mitigate Negative Effects You May Have from the Cash Incentives of The Whistleblower Provision” – Cathleen Seneca – NSCP Currents
HedgeWeek Global Awards 2014 – Special Publication, HedgeWeek
Webinars & Video Clips
Starting Your Own RIA January 24, 2018, co-produced with Hirschler-Fleischer Attorneys at Law
Emerging Technologies – Existing Regulations May 1, 2018, co-sponsored with NSCP
GDPR: Are You Protecting Your Clients’ Data? April 10, 2018
The New Form ADV Rules: What You Need To Know October 24, 2017, co-produced with Hirschler-Fleischer Attorneys at Law
Vulnerable Adult Clients: Are You Protecting Your Clients and Your Firm? May 25, 2017
Creating and Executing Effective, Customized Branch Examinations September 15, 2016, Co-Sponsored with NSCP
