Digital Assets – Are You Ready?

The securities and futures industries have a long history of creating, distributing, and trading new and innovative products and asset classes. Innovation is not without risk and successful firms have typically introduced disciplined processes to achieve compliance within existing regulations, even when there are gray areas. For broker-dealers, the suitability rule (2111) is the guiding… READ MORE

Cryptocurrencies and the Regulatory Challenges Around Them

The complexity and global popularity of cryptocurrencies, or digital assets, has initiated cooperative efforts between the SEC and CFTC to understand and regulate these products. The agencies have jointly testified before Congress and displayed interest in developing meaningful regulations; both agencies have promised additional working groups to pursue joint regulations. On January 24, 2018, the… READ MORE

FIA Law & Compliance Division Conference

On May 3, 2017 Oyster Managing Director Don Horwitz will be attending the FIA Law & Compliance Division Conference in Washington, D.C. During his thirty-plus years in the industry, Mr. Horwitz focused on assisting futures commission merchants (FCMs), broker-dealers, derivatives exchanges and their central counterparty clearinghouses (CCPs). He served as general counsel and/or chief compliance… READ MORE

Attending the FIA International Futures Industry Conference

Oyster Consulting Managing Director Don Horwitz will be attending the FIA International Futures Industry Conference in Boca Raton.   Donald L. Horwitz is a managing director at Oyster Consulting, LLC, in the Chicago office. He rejoined Oyster in 2015, after serving as general counsel, secretary and chief compliance/regulatory officer at three Chicago-based exchanges (Intellectual Property… READ MORE

Attending the FMA Legal and Legislative Conference

On November 2-4, 2016, Oyster Director Evan Rosser will be attending the FMA Legal and Legislative Conference in Washington, DC.   Evan Rosser is an experienced and respected securities industry professional with 25 years of experience managing complex securities investigations for NASD/FINRA and providing compliance expertise to both broker-dealers and investment advisors. As an Oyster… READ MORE

Attending the FIA Futures & Options Expo in Chicago

Oyster Managing Director Don Horwitz and Director Dean Pelos will be attending the FIA Futures & Options Expo in Chicago, October 18-20, 2016. During his thirty-plus years in the industry, Don Horwitz focused on assisting futures commission merchants (FCMs), broker-dealers, derivatives exchanges and their central counterparty clearinghouses (CCPs). He served as general counsel and/or chief… READ MORE

Attending the Futures Industry Association – Law & Compliance Conference

On October 18-20, 206 Oyster Managing Director Don Horwitz will be attending the Futures Industry Association – Law & Compliance Conference in Chicago. Donald L. Horwitz is a managing director at Oyster Consulting, LLC, in the Chicago office. He rejoined Oyster in 2015, after serving as general counsel, secretary and chief compliance/regulatory officer at three… READ MORE