Buddy Doyle Speaks at NSCP National Conference

Oyster CEO Buddy Doyle will be speaking at the NSCP National Conference on October 20, 2020.  The nature of the conference has yet to be decided (in-person or remote).  Buddy’s session will explore the importance of having adequate, current, and relevant governance programs designed to monitor and manage interactions with a wide variety of vendors… READ MORE

Oyster Sponsors 2019 NSCP National Conference

Oyster Consulting is a sponsor of the 2019 NSCP National Conference, October 21-23, in Baltimore, MD.  Oyster’s CEO, Buddy Doyle will also be speaking on the 2019 Regulatory Priorities & Best Practices (Intermediate) panel.  This session will focus on OCIE’s 2019 examination priorities against a risk-based approach to: promoting compliance, preventing fraud, identifying and monitoring… READ MORE

Oyster’s Brinkerhoff – Panelist at NSCP Canadian Compliance Roundtable

Oyster’s Associate Director Nikki Brinkerhoff will be a panelist at the NSCP Canadian Compliance Roundtable on Tuesday, March 26, 2019.  Nikki will be speaking on the 2019 SEC Exam Priorities. Nikki Brinkerhoff has over 20 years of expertise in Financial Services including the technology and operational controls required to achieve compliance and service delivery strategy. … READ MORE

Oyster Associate Director Nikki Brinkerhoff Attending NSCP Women in Compliance Meeting

Oyster Consulting Associate Director Nikki Brinkerhoff will be attending NSCP’s Women in Compliance meeting in New York, March 19, 2019.  The meeting honors International Women’s Day with a candid discussion on the issues facing women and their firms in the compliance industry, including gender gaps in earnings and advancement, work achievement, and opportunities. Attendees will hear… READ MORE

NSCP Regional Chicago Conference

On May 23, 2017 Oyster Consulting Director Dean Pelos will be attending the NSCP Regional Chicago Conference in Chicago, IL. With over 30 years of experience as a financial services professional, Dean has extensive experience helping firms maintain regulatory compliance, grow sales, and control costs. Dean has a strong background in compliance for investment advisers… READ MORE

Oyster Consultants Published in February Issue of the NSCP’s Currents Magazine

Oyster Consultants recently contributed the article “The SEC’S 2017 Priorities: What They Are and What Compliance Professionals Need to Know” to the National Society for Compliance Professional’s (NSCP) latest issue of Currents, the organization’s publication for industry professionals.  The article offers compliance professionals items to take into consideration for each topic. View the article: The SECS 2017… READ MORE

Branch Exams and Program Design

Branch exams are a critical part of every broker-dealer’s system of compliance and controls, and must address risk while ensuring your firm is complying with relevant rules and regulations.  Branch exams are more than just walking into a location and working from a standard checklist. Branch location types, business lines, products, firm changes and varying… READ MORE