New Podcast: Preparing for Modern Regulatory Exams

The pandemic has changed how firms operate as offices close and staff work from home. Regulators have also had to change their examination practices to accommodate these changes.  In this episode, Oyster Managing Director Ed Wegener, a former SVP and Midwest Regional Director of FINRA, shares his insider views on: the changes in the regulator’s… READ MORE

Oyster’s Brinkerhoff – Panelist at NSCP Canadian Compliance Roundtable

Oyster’s Associate Director Nikki Brinkerhoff will be a panelist at the NSCP Canadian Compliance Roundtable on Tuesday, March 26, 2019.  Nikki will be speaking on the 2019 SEC Exam Priorities. Nikki Brinkerhoff has over 20 years of expertise in Financial Services including the technology and operational controls required to achieve compliance and service delivery strategy. … READ MORE