Former FTB Advisors CCO Joins Oyster Consulting

  Oyster responds to industry need for operations and compliance experts   Nikki Brinkerhoff recently joined Oyster Consulting as an Associate Director, expanding Oyster’s Operations and Compliance practices. The move increases the firm’s ability to help industry members optimize operations and compliance functions, as well as design and implement technology solutions to improve operational excellence, improve… READ MORE

SEC Exam Priorities – Regulatory Focus in 2019

  The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2019 Examination Priorities on December 20, 2018. While most of the topics are familiar, there are a few new items of note. OCIE has divided its priorities into four categories:     Retail Investors, Including Seniors and Those Saving for Retirement OCIE will… READ MORE

Act Now – FINOP Changes Required October 1

FINRA is changing its registration requirements for Chief Financial Officers (CFOs) and Chief Operating Officers (COOs).  The new registration rules take effect October 1, 2018. It is more than just a title change.  The requirement for certain firms to have a CFO/COO (requiring Series 27/28 licensing) is being applied to ALL firms, and the registration… READ MORE

Former Robert W. Baird Director Joins Oyster Consulting

Financial Services consulting firm responds to industry need for strategic clearing, operations management Oyster Consulting announced today that Mary Jane Phillips joins the firm as an Associate Director, expanding Oyster’s Strategic Management and Operations and Technology practices. The move increases the firm’s ability to help broker-dealers and investment advisors optimize operations, automate processes, explore clearing… READ MORE

Blockchain Technology – Transforming Global Business Activities

For most people the term ‘blockchain’ is synonymous to ‘cryptocurrency,’ largely due to media coverage of the wild value fluctuations of cryptocurrencies like Bitcoin and block.one’s recent Initial Coin Offering (ICO) of its token, EOS. But they are very distinct, and blockchain technology could be the far more important of the two. Once you understand… READ MORE