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

Digital Assets and State Regulatory Challenges

One of the challenges for firms regulated by states is the state’s autonomy to both draft and enforce their own laws It is important to be aware of the regulations in any states where you may be conducting business, including the offer or sale of digital assets. A review of state regulations reveals one common… 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 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