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Our original content is an opportunity for you to benefit from our experience. Take advantage of the insights offered through our Oyster Stew podcast, blogs, eBooks and webinars. Our thought leadership comes from industry experience, successfully navigating complex circumstances and the ability to learn from a wide field of view. Our insights are your opportunities.

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Podcast

Why Firms Must Prepare for RIA AML Compliance Now

Early Preparation is Critical for RIA AML Compliance Understanding and implementing the new FINCEN AML (anti-money laundering…

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Blog

Outsourcing AML/CFT Functions: What RIAs Can—and Can’t—Outsource

FinCEN recently enacted AML compliance requirements for most registered investment advisors by designating them as Financial …

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Blog

AML Training: The 5 Pillars of AML Compliance Programs

The Importance of AML Compliance in Financial Services In the financial services industry, maintaining an effective Anti-Mone…

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Editor’s Pick

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Blog

Oyster Solutions Unveils Expansive Product Updates

Oyster Solutions Significantly Advances its Versatile Platform Oyster Solutions, the industry’s premier provider of governance, risk and compliance …

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Trending Posts

Article

Types of Outsourced Risk Management Services

Article

9 Wealth Management Functions You Can Easily Outsource

Article

Outsourcing Services Pros and Cons for Financial Firms

Article

The Benefits of Software Outsourcing for Financial Firms

Article

When You Should Outsource: Strategic Partnerships

Article

How to Manage Outsourcing Vendors and Due Diligence

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Article

Compliance Risk Concepts (CRC) Acquires Oyster Consulting 

The acquisition doubles the size and scope of the firm, providing added bandwidth, service verticals and professional capacity for the organization an…

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Article

Oyster Solutions To Add CAT Reporting Agent Services To CAT, CAIS Modules

Oyster Solutions, the premier provider of GRC software for financial services firms, announced that it will be offering Consolidated Audit Trail (CAT)…

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Podcast

CAT Compliance – Build the Surveillance Framework Regulators Demand

Key Elements of a Strong CAT and CAIS Compliance Program Consolidated Audit Trail (CAT) compliance requirements include more than just data submission…

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Article

Oyster Consulting Advises Cutter & Company in Acquisition

Broker-dealer leverages Oyster Consulting’s regulatory strategic expertise to support successful transition to Prospera Financial Services Oyster Co…

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Podcast

Are You Unintentionally Triggering Custody?

Navigating the Complexities of the Custody Rule Navigating the Securities and Exchange Commission (SEC) Custody Rule 206(4)-2 remains one of the most …

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Blog

Your AML Risk Assessment Is Not an Audit (and why it matters)

Regulators Are Watching—And Fines Are Steep Broker-dealers face steep consequences for anti-money laundering compliance failures. Regulators have im…

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sunset on office buildings represents Oyster Solutions software update

Blog

Oyster Solutions Unveils Expansive Product Updates

Oyster Solutions Significantly Advances its Versatile Platform Oyster Solutions, the industry’s premier provider of governance, risk and compliance …

Learn More
Blue slate wall represents updates on the Latest CAT and CAIS Issues

Podcast

Inside the Latest CAT and CAIS Reporting Issues

Evolving Regulatory Expectations for CAT and CAIS The regulatory landscape for broker-dealers continues its rapid evolution, particularly regarding CA…

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Night building represents AML/CFT compliance

Blog

Outsourcing AML/CFT Functions: What RIAs Can—and Can’t—Outsource

FinCEN recently enacted AML compliance requirements for most registered investment advisors by designating them as Financial Institutions under the Ba…

Learn More
Two business execs looking at laptop represents clearing agreement review

Podcast

3 Reasons Why You Must Review Your Clearing Contract

Why Your Clearing Agreement Matters Your clearing agreement is the backbone of your brokerage firm’s operations, yet many firms fail to review it un…

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Podcast

Technology Investments That Work: Aligning Strategy, Data, and ROI

Don’t just invest in technology—invest in results. In this episode of the Oyster Stew Podcast, experts Dan Garrett and Jay Donlin break down the c…

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modern stairway view represents preparing for RIA AML compliance program

Podcast

Why Firms Must Prepare for RIA AML Compliance Now

Early Preparation is Critical for RIA AML Compliance Understanding and implementing the new FINCEN AML (anti-money laundering) requirements for regist…

Learn More
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