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

Alert – The SEC Division of Investment Management Issues Robo Advisor Guidance Update

Regulators are taking a close look at electronic investment advice. After specifically mentioning the topic in the SEC’s  2017 Exam Priorities Letter, last week the SEC Division of Investment Management issued a Guidance Update covering: Disclosures to be made about the robo-advisor and the services offered Advisor’s obligation to obtain client information necessary to providing… READ MORE