New Podcast – CCO Behind the Scenes, Episode 3

Join Oyster Consulting’s Jeffrey Hiller in Episode 3 of his podcast mini-series, CCO – Behind the Scenes. This week, Jeffrey discusses personal compliance violations and what you should do. Being CCO is more than just checking boxes.  Listen and learn in these short discussions as Jeffrey shares his real experiences and lessons learned. Some things you just… READ MORE

New Podcast: CCO – Behind the Scenes

In Episode 2 of our podcast miniseries “CCO – Behind the Scenes,” Jeffrey Hiller shares his lessons learned from decades in the industry as CCO for multiple global investment firms and as Senior Counsel for the SEC’s Division of Enforcement. This week’s topics include repeat violations and when and how to escalate issues successfully. Click… READ MORE

“CCO – Behind the Scenes:” The New Oyster Stew Podcast Mini-Series

Join Oyster Consulting’s Jeffrey Hiller in his new podcast mini-series, CCO – Behind the Scenes, as he shares his vast experience as both a Chief Compliance Officer (CCO) for several global investment firms and Senior Counsel for the SEC’s Division of Enforcement. Jeffrey literally helped write the book on modern regulatory compliance. Being CCO is… READ MORE

New Podcast: 2020 Exam Priorities Letters, Part 2

This week’s episode of Oyster Stew is Part 2 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about Market Integrity, the Market Access Rule, and Best Execution requirements. Future exam priorities podcast topics will include: Technology and Cybersecurity… READ MORE