Oyster Consulting Senior Consultant Bob Tuch recently contributed his article, “Protection of Seniors from Financial Exploitation – Congress Enacts the Senior Safe Act” to Practical Compliance & Risk Management for the Securities Industry, a Wolters Kluwer publication. The Senior Safe Act provides immunity from liability to covered financial institutions and certain employees and representatives of… READ MORE
Webinar Slides Available: Vulnerable Adult Clients – Are Your Protecting Your Clients and Your Firm?
Confused about the new FINRA rule requirements around senior and vulnerable adult exploitation? Not sure what you should be doing to protect your firm and your clients? On May 25, 2017 Oyster Consulting hosted a webinar addressing the new and amended FINRA rules, what firms should be doing now, and the need for escalation and… READ MORE
Both the SEC and FINRA listed anti-money laundering (“AML”) as an examination priority for 2016. This should not be a surprise to anyone that works for a broker-dealer. Broker-dealers have been subject to ever-increasing scrutiny on this topic since the adoption of the USA PATRIOT Act. Unless you aren’t paying attention, you have certainly seen… READ MORE