2020 SEC Examination Priorities Released

The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (OCIE) released their 2020 Examination Priorities Letter on January 7, 2020.   While every area is important, when you read this in context of prior releases, most of the priorities are the same; however, there are some evolving priorities as well. Regulation Best… READ MORE

Compliance Challenges for Dually-Registered Firms

Wolters Kluwer invited Oyster Senior Consultant Robert Tuch, Esq. to write an article on “Compliance Challenges for Dually-Registered Firms,” which is in the latest issue of Practical Compliance & Risk Management for the Securities Industry. We hope you find it useful. If you would like to hear more on this topic please call Oyster Consulting… READ MORE