SIFMA Compliance & Legal Annual Seminar

Oyster is proud to be a sponsor of the SIFMA  Compliance & Legal Annual Seminar.  Stop by Booth #403  – our consultants would love to learn more about your firm, and you can discover how Oyster can help. For 52 years, SIFMA’s C&L Annual Seminar has served as the preeminent event for compliance and legal… READ MORE

As Arbitration Cases Increase Expert Witness Demand Rises

The number of FINRA arbitrations continues to rise, with a 40% increase in new arbitrations in the last year, and a 29% increase from 2016. Of the thousands of cases filed each year the majority involve customer complaints. Because the matters in dispute often involve technical, industry-specific issues, the use of expert witnesses is increasingly… READ MORE

Recording Available: Starting Your Own RIA and Going Independent – What You Need to Know

Have you been considering whether now is the right time to open a Registered Investment Advisor (“RIA”)?  Navigating the complex regulatory requirements, making operational and technology decisions, and developing the financial analysis to know what the future holds may seem daunting. There are people willing to help you make an informed decision.  We invite you… 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 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

Attending SIFMA C&L Society Regional Seminar

On September 21, 2016, Oyster Founder and Legal Counsel Patrick Dennis and Senior Consultant Patrick lane will be attending the SIFMA C&L Society Regional Seminar in Charlotte, NC. Patrick M. Dennis has been involved in the securities industry for over 30 years, and is one of the Founding Principals of Oyster Consulting. Patrick not only… READ MORE

Oyster Consulting (Bermuda) Presents AML Audit/Sanctions Lecture

  Oyster Consulting (Bermuda) Ltd Consultant Henry M. Komansky, J.D., presented another in his very popular series of lectures on 7th September 2016 discussing the new requirement under the Bermuda Proceeds of Crime Amendment Act 2015 for AML audits as well as sanctions, with a focus on UK and Bermuda laws and regulations. On 1… READ MORE