After more than half a year since the implementation of Reg BI, it is the expectation that firms have instituted or enhanced their policies and procedures enabling the necessary point of sale application of the “Reasonably Available Alternatives” standards, required under the Care provision of Reg BI. Unfortunately, in their efforts to comply in a […]
https://www.oysterllc.com/what-we-think/do-you-have-a-strategic-product-portfolio-or-a-product-warehouse/
Expanding your firm’s product offerings provides more options to your clients and growth opportunities for your firm, but pre- and post-launch planning for the investment product is critical. You need a strategic process in place to ensure that you are minimizing risk and achieving compliance throughout the product’s shelf-life. Considerations Before Launch Consideration for Post-Launch […]
https://www.oysterllc.com/what-we-think/6-things-to-consider-when-launching-a-new-investment-product/
https://www.oysterllc.com/what-we-do/compliance/support/new-products-process-review/
Capital markets are rapidly evolving and the rules are changing. Technology innovations are creating a faster trading environment and regulators are focused on trade reporting and trade desk compliance. Each year the Securities Exchange Commission (SEC) publishes its exam priorities for the coming year. In this week’s Oyster Stew podcast, Oyster’s Capital Markets experts Jeff […]
https://www.oysterllc.com/what-we-think/sec-exam-priorities-trade-and-transaction-reporting/
Our experts discusses the regulatory aspect of starting an RIA. There are some basic things you need to do to get started, as well as regulatory perspectives you should consider.
https://www.oysterllc.com/what-we-think/starting-your-ria-establishing-your-compliance-program/