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Blog

Change Into Opportunity: Navigate a Departure with an Outsourced FINOP

A FINOP (Financial and Operations Principal) plays a critical role in the regulatory and financial oversight of broker-dealer…

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Podcast

CAT Compliance – Build the Surveillance Framework Regulators Demand

Key Elements of a Strong CAT and CAIS Compliance Program Consolidated Audit Trail (CAT) compliance requirements include more …

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Blog

Dual Registration: Does It Make Sense To Separate?

Regulatory Drivers Behind the Shift Away from Dual Registration Regulators have sharpened their focus on dual registration, w…

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Editor’s Pick

Article

Oyster Solutions To Add CAT Reporting Agent Services To CAT, CAIS Modules

Oyster Solutions, the premier provider of GRC software for financial services firms, announced that it will be offering Consolidated Audit Trail (CAT)…

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Trending Posts

Podcast

AML Strategies for Surveillance, Training, and SAR Reporting

Podcast

The Power and Potential of Artificial Intelligence in Financial Services

Podcast

Preparing Your Financial Services Firm for AI: Governance, Data, and Compliance

Podcast

Beyond the Rulebook: Practical Insights on Reg BI and Fiduciary Duty

Article

How to Manage Outsourcing Vendors and Due Diligence

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Podcast

Beyond the Rulebook: Practical Insights on Reg BI and Fiduciary Duty

Exploring the Shifting Landscape of Reg BI and Fiduciary Duty The standards of care for financial services professionals are undergoing a significant …

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Article

Protecting Vulnerable Adults: A Decade of Lessons from NASAA and FINRA

How NASAA and FINRA Rules Are Safeguarding Seniors As the financial industry approaches a decade since the adoption of the NASAA Model Act (January 20…

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Podcast

Preparing Your Financial Services Firm for AI: Governance, Data, and Compliance

AI in Financial Services: Why Governance Matters Financial firms face unprecedented changes as artificial intelligence transforms everything from trad…

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abstract painting with red bars represents dual registration

Blog

Dual Registration: Does It Make Sense To Separate?

Regulatory Drivers Behind the Shift Away from Dual Registration Regulators have sharpened their focus on dual registration, worried that potential con…

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gold statue pillars represent CAT funding shakeup

Blog

Eleventh Circuit Ruling Puts SEC’s CAT Funding Model in Question

Eleventh Circuit Vacates SEC’s CAT Funding Order On July 25, 2025, the Eleventh Circuit issued a published opinion in American Securities Associatio…

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Green and orange glass building represents AI implementation for financial services

Podcast

The Realities of AI Implementation: What Every Firm Needs to Know

The Thin Line Between Innovation and Exposure Powerful AI tools are rapidly transforming financial services, but beneath the promise of efficiency lur…

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female exec represents FINOP outsourcing

Blog

Change Into Opportunity: Navigate a Departure with an Outsourced FINOP

A FINOP (Financial and Operations Principal) plays a critical role in the regulatory and financial oversight of broker-dealers, ensuring compliance wi…

Learn More
pink and orange camera lens represents REG SCI compliance

Blog

Reg SCI Compliance: How to Prepare for Your Annual Audit

What is Regulation SCI? In late 2014 the Securities and Exchange Commission (SEC) voted to adopt rules designed to strengthen the technology infrastru…

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Colored rocks on a tightrope represent AI compliance strategies in wealth management

Podcast

Walking the AI Tightrope: AI Compliance Strategies for Wealth Management Firms

In this second installment of our special Oyster Stew podcast series on artificial intelligence in the financial services industry, experts Pete McAte…

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Blog

GENIUS Act 2025: Key Takeaways for Wealth Management Firms

The passage of the GENIUS Act on July 18, 2025 marks a turning point in the regulatory landscape for digital assets in the U.S. For the first time, th…

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Acceleration in blue represents Potential of Artificial Intelligence in financial services

Podcast

The Power and Potential of Artificial Intelligence in Financial Services

Artificial intelligence (AI) is reshaping every corner of the financial services industry—from compliance and operations to trading and client engag…

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Article

Compliance Risk Concepts (CRC) Acquires Oyster Consulting 

Expanding Expertise, Enhancing Support The acquisition doubles the size and scope of the firm, providing added bandwidth, service verticals and profes…

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Article

Oyster Solutions To Add CAT Reporting Agent Services To CAT, CAIS Modules

Oyster Solutions, the premier provider of GRC software for financial services firms, announced that it will be offering Consolidated Audit Trail (CAT)…

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