Broker-Dealer Compliance Program Review

Ensuring that your compliance program is robust and current with ever-evolving regulatory requirements is an important factor when it comes to protecting your business. Oyster provides comprehensive and targeted compliance program reviews conducted by consultants who have sat in your seat, facing the same obstacles and regulatory scrutiny.

During the compliance program review, Oyster will:Screen Shot 2015-02-16 at 3.26.55 PM

  • Review prior regulatory examinations, findings and firm responses
  • Review Written Supervisory Procedures
  • Review the compliance program
  • Interview key personnel to assess written policies against actual procedures
  • Draft a report and discuss the finding with your firm

The Oyster Difference

Oyster knows that each compliance review is different. Our experts have years of industry experience and can quickly assess through thoughtful and skillful questions what areas of your firm need the most attention and review. Oyster will not only provide your firm with a written report of problem areas, but will also identify best practices. We will discuss the initial findings and recommendations with you before issuing a final report to ensure accuracy and to offer practical solutions to create an efficient compliance program. Oyster’s team of experienced industry practitioners can help you facilitate those changes through support staffing or by taking on the initiative entirely.