Succession Planning – Begin With the End in Mind For many Registered Investment Advisors (RIAs) and broker-dealer leaders, succession planning is something that gets deferred—often until it’s too late. Succession planning should be a fundamental part of your business strategy from day one. Whether you’re looking to transition your firm to the next generation, merge […]
https://www.oysterllc.com/what-we-think/blog-succession-planning-with-purpose-maximizing-the-value-of-your-firm/
In today’s environment of acquisition and consolidation, thinking about succession and how you can monetize your assets should be a part of your strategic planning process.
https://www.oysterllc.com/what-we-think/consider-your-succession-strategy/
https://www.oysterllc.com/what-we-do/consulting/strategy/succession-planning/
Why Clearing Contracts Should Always Be on Your Radar For introducing broker-dealers, the clearing relationship is one of the most important financial drivers of the business. Yet many firms let their clearing contracts auto-renew for decades without a meaningful review. Our Oyster Stew panel emphasizes why firms should always be evaluating their contracts—not just a […]
https://www.oysterllc.com/what-we-think/looking-ahead-clearing-relationships-and-succession-planning/
Benchmarking: A Key Tool for Making Informed Decisions In an increasingly competitive and complex regulatory environment, wealth management firms cannot afford to operate in a vacuum. Your strategic decisions should be guided by more than instinct or historical performance. Benchmarking gives you the context you need to make informed choices, enabling you to assess how […]
https://www.oysterllc.com/what-we-think/blog-benchmarking-for-success-why-strategic-comparisons-matter-in-wealth-management/
Regulatory Drivers Behind the Shift Away from Dual Registration Regulators have sharpened their focus on dual registration, worried that potential conflicts of interest or blurred roles could harm investors. Recent Securities and Exchange Commission (SEC) examination priorities highlight scrutiny of on whether advisors clearly disclose which hat they are wearing (broker or adviser) when making […]
https://www.oysterllc.com/what-we-think/blog-dual-registration-does-it-make-sense-to-separate/
Broker-dealer leverages Oyster Consulting’s regulatory strategic expertise to support successful transition to Prospera Financial Services Oyster Consulting is proud to announce its role in advising Cutter & Company in its recent acquisition by Dallas-based Prospera Financial Services. The transaction marks a strategic move that brings together two respected independent broker-dealers and underscores the ongoing trend […]
https://www.oysterllc.com/what-we-think/press-release-oyster-consulting-advises-cutter-amp-company-in-acquisition/
Wealth Management Growth Acquisition Considerations Adapting your infrastructure while managing your firm’s growth can present unique challenges. Listen to this week’s Oyster Stew Podcast as Oyster Consulting experts Ed Wegener, Brent Nicks and Pete McAteer as they share their insights for scaling and sustaining growth. In this podcast you will: This segment is all about […]
https://www.oysterllc.com/what-we-think/podcast-scaling-smart-aligning-growth-with-infrastructure/
Get The AML Expertise You Need Welcome to today’s episode of the Oyster Stew Podcast, where we delve into the AML portion of FINRA Annual Regulatory Oversight Report, shedding light on essential focus areas, common deficiencies, and effective practices to fortify your AML program. From customer due diligence to transaction monitoring, our experts guide you […]
https://www.oysterllc.com/what-we-think/finra-aml-program-expectations/
In this week’s Oyster Stew Podcast, Oyster’s Strategic Planning and Execution experts, Pete Bowman, Pete McAteer, Jay Donlin, Jeff Wilk, and Jeff Gearhart share their perspectives on four critical areas transforming the clearing and custodian industry: Listen Today: Learn More with these Related Resources Get the Most Out of Your Clearing Firm Relationship Now is […]
https://www.oysterllc.com/what-we-think/the-clearing-and-custodian-transformation/
Learn about regulatory exam trends and issues in this 2023 FINRA Annual Conference discussion on exam trends including ACATs fraud, succession planning and supervisory system errors.
https://www.oysterllc.com/what-we-think/finra-insights-2023-exam-and-regulatory-trends/
Learn about the increasing pressures facing broker-dealers in today’s markets and offer insight into how best to handle them, giving you a better chance of achieving success.
https://www.oysterllc.com/what-we-think/broker-dealers-navigating-the-pressure-to-sell-and-innovate/