Former Cetera Advisory CCO Ami Shah Joins Oyster Consulting as Director

Financial services consulting firm expands into Houston RICHMOND, Va., March 29, 2016 — Oyster Consulting announced today it has hired Ami Shah, former Advisory CCO for Cetera Financial Group, Inc. The move expands the consulting firm’s U.S. presence, and continues Oyster’s ascent as a regulatory and compliance leader. Houston will be Oyster’s 15th U.S. location…. READ MORE

NSCP and Oyster Consulting Webinar: The MCDC Initiative

On June 18, 2015, the SEC released its first settlements with municipal securities underwriters on their continuing disclosure obligations under SEC rule 15c2-12, also known as “MCDC”. These come after firms self-reported violations of compliance with the rule last fall. It is estimated that hundreds of additional settlements may be in process. Join us on… READ MORE

Transparency and Strong Regulation Pay Off for Emerging Markets

On July 25 the Nigerian Stock Exchange (NSE) was named the “African Regulator of the Year” at the 6th African Business Leadership Forum & Awards, held in London. The award, sponsored by African Leadership magazine, was given to the NSE for its effective regulatory policies and programs implemented across national, regional and international level. These… READ MORE

CFP Fee-Only Guidance

Financial advisors who hold a financial services designation are required to abide by a code of ethics associated with that designation. These financial advisors may not be aware, however, that failure to comply with such ethical standards could lead to a public sanction that any client or prospective client could consider when determining whether to… READ MORE

Former NYSE Policymaker Daniel M. Labovitz Joins Oyster Consulting as Managing Director

Financial services consulting firm responds to increased spotlight on trade sector, hires former head of NYSE Regulation Office of General Counsel Oyster Consulting announced today it has hired Daniel M. Labovitz to be the Managing Director of its New York office. The move continues Oyster’s ascent as a regulatory and compliance leader, heightening the firm’s… READ MORE