New Podcast: Conducting Remote Supervision in Your Transitioning Workplace

Regulators expect both offsite and onsite monitoring of offices and employees due to the heightened risk inherent in remote arrangements.  The work-at-home orders issued by the States in response to the pandemic have created supervision challenges for firms.  While some consider the present state the “new normal,” no one really knows how and when this… READ MORE

New Podcast: Will There Be A Post-Pandemic Securities Litigation Wave?

When markets are volatile, history has shown us that there is often an increase in securities litigation,  In this week’s episode, Oyster’s General Counsel Patrick M. Dennis and Director Evan Rosser talk about past litigation trends in volatile markets and what they see coming as the pandemic continues to wreak havoc on the national economy and individual investments. Oyster… READ MORE

SIFMA Compliance & Legal Annual Seminar

Oyster is proud to be a sponsor of the SIFMA  Compliance & Legal Annual Seminar.  Stop by Booth #403  – our consultants would love to learn more about your firm, and you can discover how Oyster can help. For 52 years, SIFMA’s C&L Annual Seminar has served as the preeminent event for compliance and legal… READ MORE

SIFMA Regulation Best Interest Vendor Forum

isBy June 30, 2020, registered broker-dealers must comply with Regulation Best Interest; and broker-dealers and investment advisers registered with the SEC must prepare, file, and deliver to retail investors, a new customer relationship summary (Form CRS). To complement SIFMA’s Reg BI Implementation Guide, this event will provide attendees an overview of the implementation considerations, and… READ MORE

FINRA’s Reg BI Conference – What You Need to Know

With just over six months remaining until the implementation date of Reg BI, we are seeing regulators provide additional guidance to help firms to meet the requirements of the rule, and regulatory expectations.  This week, FINRA hosted its Reg BI Conference in Washington, DC and Oyster’s consultants attended to receive the most up to date… READ MORE

IA Compliance – Mastering Emerging Challenges

Oyster’s General Counsel Patrick M. Dennis and Senior Consultant Preeti Gupta will be attending the 2019 IA Compliance: Mastering Emerging Challenges Conference on September 16 in Philadelphia, PA.  The conference includes: The latest on regulatory initiatives being hatched by the SEC. Strategies to ensure you’re ready for your next OCIE exam. Effective techniques to spot… READ MORE

Securities Experts Roundtable – Annual Conference

Oyster’s Chief Legal Counsel Patrick M. Dennis will be attending the Securities Experts Roundtable (SER) in Minneapolis, MN.   SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization. Patrick M. Dennis has been involved in the securities industry for over 30 years, most recently as… READ MORE