New Podcast: Leadership – Connecting the Dots in Today’s Business Environment

Recently, Oyster Consulting industry leaders Buddy Doyle, Bill Davis, Jeffrey Hiller, Jim Roth and Ed Wegener took some time to discuss what firm executives and decision makers should be focusing on in today’s volatile and changing business environment. With their decades of experience in compliance, operations, growth strategies and operations, they provide insight into improving… READ MORE

Former FINRA Regulator and Innovator Joins Oyster Consulting

Financial Services consulting firm expands Governance, Risk and Compliance team Oyster Consulting welcomes Ed Wegener to the firm as a Managing Director with the Governance, Risk and Compliance team. Ed brings a deep knowledge of compliance, risk management and supervisory controls requirements and best practices for broker-dealers and alternative trading systems.  His vast experience as… READ MORE

Zoom – Firms Should Conduct a Risk-Based Assessment Before Implementation

As many firms have started heavily leveraging remote conferencing systems to maintain business continuity during this COVID-19 outbreak, Zoom has seen a sudden rise in popularity and an equally sudden rise in cybersecurity concerns.  There are many reports detailing both the lack of available protections and the implementation of those protections by firms.  Zoom has… 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

New Podcast: 2020 Exam Priorities Letters – Part 1

In case you’re wondering what the regulators will be focusing on this year, they let you know when they publish their annual Exam Priorities Letters. This week’s episode of Oyster Stew is Part 1 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and… READ MORE

FINRA Notice – Heightened Terror Threat Risk

Last week FINRA posted a Notice to members outlining steps firms may consider taking to be prepared and respond to cyberattacks and other business disruptions.  The Notice was prompted by a Bulletin issued by the Department of Homeland Security (DHS), which noted that Iran and its partners have demonstrated the intent and capability to conduct… READ MORE