Your Form ADV – Beyond Checking the Box

Additionally, Reg BI requires that firms file Form CRS.  The SEC has said that to answer some parts of Form CRS, you may link to other places where the relevant information resides, and a lot of that information is already in your ADV part 2A brochure.  Even if you don’t take advantage of your new… READ MORE

New Podcast Episode: Oyster Solutions Software – Making Your Annual Compliance Calendar and Review More Efficient

  In this week’s episode of Oyster Stew, Managing Director Polly Cordle and Consultant Gray Houghton share how Oyster Solutions Software can make managing your compliance calendar and Annual Review processes easier and more efficient using workflows and automated reporting. Oyster Solutions is one “solution” for many systems:  A system to track various workflows and… READ MORE