When it comes to compliance, your revenue stream is only as strong as your regulatory and client relationships. Making a million in revenue means very little if you pay a $500,000 fine. How do you protect that revenue? Compliance: Follow the rules and regulations and watch closely to ensure your employees do the same. A… READ MORE
Webinar Slides Available: Vulnerable Adult Clients – Are Your Protecting Your Clients and Your Firm?
Confused about the new FINRA rule requirements around senior and vulnerable adult exploitation? Not sure what you should be doing to protect your firm and your clients? On May 25, 2017 Oyster Consulting hosted a webinar addressing the new and amended FINRA rules, what firms should be doing now, and the need for escalation and… READ MORE
I’ve done it. You’ve done it. Half the people in your office have done it. You’ve sat down at your computer, logged into the year’s annual training and you promised yourself, “This time it will be different. This time I will get something out of this training.” Ten minutes later, you have adjusted the promise. … READ MORE
Webinar Slides Available: Are You Ready for April? Training and Education Around the DOL Fiduciary Rule Change
On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary. The DOL Rule has expanded the definition of fiduciary advice and has created the best interest contract exemption (BIC Exemption) as the primary… READ MORE
On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary. Among the steps that firms should be taking are preparing education and training plans for advisors/representatives, staff and clients. Please join us for… READ MORE