Buddy Doyle Speaks at NSCP National Conference

Oyster CEO Buddy Doyle will be speaking at the NSCP National Conference on October 20, 2020.  The nature of the conference has yet to be decided (in-person or remote).  Buddy’s session will explore the importance of having adequate, current, and relevant governance programs designed to monitor and manage interactions with a wide variety of vendors… READ MORE

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: 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

Oyster Sponsors 2019 NSCP National Conference

Oyster Consulting is a sponsor of the 2019 NSCP National Conference, October 21-23, in Baltimore, MD.  Oyster’s CEO, Buddy Doyle will also be speaking on the 2019 Regulatory Priorities & Best Practices (Intermediate) panel.  This session will focus on OCIE’s 2019 examination priorities against a risk-based approach to: promoting compliance, preventing fraud, identifying and monitoring… READ MORE

2019 Outcomes Advisor Conference

Oyster Consulting CEO Buddy Doyle will be speaking on “The Best Offense is a Good Defense – Shifting Cybersecurity from Expense to Client Value” at the Outcomes 2019 Advisor Conference July 29, 2019. Buddy Doyle is a passionate and innovative executive and has been in the financial services industry for over 30 years. Over the… READ MORE

CEO Buddy Doyle to Speak at Future Markets Association 2019 Securities Compliance Seminar

On May 2nd Oyster CEO Buddy Doyle will participate in a panel discussion of compliance issues for broker-dealers and investment advisors.  Discussion topics will include: Broker-dealer reporting (FINRA Notice 18-20); Distribution OBA/Selling Away RIA Holding Reports Continuing Education Insurance Buddy Doyle is a passionate and innovative executive and has been in the securities industry for… READ MORE