New Podcast Mini-Series! Regulators – Behind the Scenes

This week we are launching our new Oyster Stew podcast mini-series, Regulators – Behind the Scenes.  Join former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener  as they share their experiences and perspectives as former state and federal regulators around regulatory exams and issues.  Some things you just won’t learn from a textbook, like managing your relationship with… READ MORE

New Podcast – CCO Behind the Scenes, Episode 3

Join Oyster Consulting’s Jeffrey Hiller in Episode 3 of his podcast mini-series, CCO – Behind the Scenes. This week, Jeffrey discusses personal compliance violations and what you should do. Being CCO is more than just checking boxes.  Listen and learn in these short discussions as Jeffrey shares his real experiences and lessons learned. Some things you just… READ MORE

New Podcast: CCO – Behind the Scenes

In Episode 2 of our podcast miniseries “CCO – Behind the Scenes,” Jeffrey Hiller shares his lessons learned from decades in the industry as CCO for multiple global investment firms and as Senior Counsel for the SEC’s Division of Enforcement. This week’s topics include repeat violations and when and how to escalate issues successfully. Click… READ MORE

“CCO – Behind the Scenes:” The New Oyster Stew Podcast Mini-Series

Join Oyster Consulting’s Jeffrey Hiller in his new podcast mini-series, CCO – Behind the Scenes, as he shares his vast experience as both a Chief Compliance Officer (CCO) for several global investment firms and Senior Counsel for the SEC’s Division of Enforcement. Jeffrey literally helped write the book on modern regulatory compliance. Being CCO is… READ MORE

New Podcast: Conducting Remote Supervision in Your Transitioning Workplace

Regulators expect both offsite and onsite monitoring of offices and employees due to the heightened risk inherent in remote arrangements.  The work-at-home orders issued by the States in response to the pandemic have created supervision challenges for firms.  While some consider the present state the “new normal,” no one really knows how and when this… READ MORE

Remote Supervision in the Pandemic World

The SEC and FINRA have long held that broker-dealers and investment advisers are required to supervise their employees’ conduct in order to prevent and detect violations of the securities laws.  Moreover, the regulators have emphasized that remote or offsite offices and employees require particularly vigilant supervision. Regulators expect both offsite and onsite monitoring of offices… READ MORE

Jeffrey Hiller Joins Oyster Consulting

Jeffrey Hiller joins Oyster Consulting as a Managing Director of our Governance, Risk and Compliance team. Jeffrey’s experience developing and managing global and domestic compliance programs with international Investment Advisors will enhance the team’s ability to serve its clients with solutions to large and complex organizations, to solve compliance concerns and provide outsourced and expert… READ MORE