Former Chicago Stock Exchange Sales-Marketing Director Joins Oyster Consulting

  Oyster Consulting announced today that Mark O’Connor joins the firm as a Relationship Manager, expanding Oyster’s ability to provide consistent, high-quality compliance, outsourcing and software services to financial services industry clients. Mark O’Connor has over 30 years of experience in the financial services industry, with an extensive track record of managing all aspects of… READ MORE

Managing the Clearing Platform Transition Process

Transitioning your platform can be a vital component of making sure your firm is successful for many years to come. Managing your firm’s platform transition is a significant undertaking that will impact most areas of your business. Consistency of communication with your leadership, employees and vendors is just one part of a very complex process…. 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

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

Oyster Consulting/NDSE Sponsor Technology Webinar

On January 31st Oyster Consulting and Network Data Security Experts, Inc. (NDSE) will co-host an invitation-only Cybersecurity Roundtable in Richmond, Virginia.  Among other items, topics discussed will include:   Cybersecurity Solutions for Businesses Cybersecurity and the Financial Services Industry VoIP Issues   Panelists: Buddy Doyle                                  Michael Pfaff                            James McKinney                                    … 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