New Podcast: COVID-19 and Your Business Continuity Plan

In light of the evolving progression of the COVID-19 virus, today’s podcast “COVID-19 and Your Business Continuity Plan” discusses what firms should be considering when it comes to their Business Continuity Plan.  Are you ready to provide the critical services to your clients if you must close your business during a quarantine?  What if 20%… READ MORE

New Podcast: 2020 Exam Priorities, Part 3

This week’s episode of Oyster Stew is Part 3 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about Technology and Cybersecurity, Business Continuity Plans, Cash Management and Bank Sweeps. Oyster provides free resources such as podcasts and blogs, as well a… READ MORE

FINRA Seeks Feedback on Business Continuity Plans

FINRA is currently seeking feedback on its Business Continuity Rule, including if firms have activated their business continuity plans and whether the costs of creating, maintaining or updating such a plan outweigh the benefits.  Feedback is due April 26, 2019. What makes an effective Business Continuity Plan? An effective plan can create loyal customers by… READ MORE