Marketing Review

Marketing platforms and distribution methodologies change rapidly. Oyster can help you quickly and efficiently review your marketing materials

Minimize Your Risk

Oyster is a valuable resource. We stay on top of the latest regulatory interpretations and enforcements, and provide you with the knowledge we’ve gained through working with regulators and clients across the industry.
We help make sure you are staying
within the regulatory boundaries.

Save Time

Oyster will assess your policies, procedures, workflows and approval processes, and provide workflow and record keeping platforms through Oyster Solutions. We recommend best practices for efficiency and compliance. Oyster’s licensed consultants can act as an outsource,
allowing you to focus on other tasks.


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SEC Issues Risk Alert on ESG Investments

Posted on April 22nd, 2021 by Oyster Consulting LLC

In January 2021 the SEC began taking an enhanced approach to Environmental Social and Governance (“ESG”) investing. Since then, the SEC has issued no less than five announcements addressing a range of issues including reviews of public company disclosure of ESG issues, adding ESG reviews to their 2021 Examination Priorities and the creation of a… READ MORE

3 Things to Do Now About the New Investment Adviser Marketing Rule

Posted on January 20th, 2021 by Lance Whittemore

On December 22, 2020 the SEC released its new Investment Adviser Marketing Rule, intended to modernize the regulatory framework. Most Investment Adviser firms will find a little bit of good news and a little bit of bad news within the 430 pages.  The rule restructures frameworks, repeals as-yet-unspecified No-Action Letters and has new definitions for… READ MORE

5 Action Items for the New Marketing Rule for Investment Advisors

Posted on January 6th, 2021 by Buddy Doyle

The Securities and Exchange Commission released its final version of the modernized Marketing Rule under the Investment Advisors Act on December 22, 2020.