Regulatory & Compliance

Oyster Consulting’s Compliance and Regulatory team includes former FINRA, SEC and State Regulators, Chief Compliance Officers, General Counsels, AML Officers, Supervisory Principals, and Auditors.

Additional Services Include:

• 206(4)-7 Annual Review
• ADV 1 & ADV 2 Preparation
• Books and Records Practices
• Complaint processes and procedures
• Rule 4530 filings
• FINRA & SEC Independent Consultant
• Mock Audits
• Policies and Procedures
• Regulatory Remediations
• Whistle Blower Investigations

Compliance programs must be reasonably designed in order to allow firms to enforce policies and procedures and comply with industry rules and regulations. Oyster has the experience and expertise necessary to evaluate your compliance program in order to determine if you are effectively identifying and resolving issues or just creating unnecessary work. Oyster will help to identify gaps in your program as a result of new products, regulations or system defects. Oyster will assist your firm with methodical, time-tested practices in order to prioritize, define and implement enhancements to your compliance program. Oyster will also coach your staff so that they are not only trained but proficient at complying with policies while efficiently performing their assigned responsibilities.

“I know the quality of your work and the integrity
that is behind everything that you do.” ​

~CEO, Super Regional Broker-Dealer