Oyster Publishes SEC Exam Priorities White Paper

Oyster Consulting’s recent white paper¬†SEC 2017 Exam Priorities White Paper (February, 2017) offers compliance professionals items to take into consideration for each topic addressed in the letter. If you have any questions or concerns about any of these topics, please contact us.¬† Our consultants are experts in these areas and have the experience and perspective… READ MORE

SEC Publishes 2017 Annual Exam Priorities Letter

Last week, the SEC published its National Examination Priorities for 2017 letter. And while we are all waiting for more clues as to how the new administration will impact regulation, these priorities can be used today as a list of items to review internally. So take a look at your risk assessments, policies and procedures,… READ MORE

The SEC’s ReTire Initiative: An Examination Initiative Focused on Products and Services Provided to Retail Investors Saving for Retirement

Wolters Kluwer invited Oyster Senior Consultant Robert Tuch, Esq. to write the article “The SEC’s ReTire Initiative: An Examination Initiative Focused on Products and Services Provided to Retail Investors Saving for Retirement,” which is in the latest issue of Practical Compliance & Risk Management for the Securities Industry. We hope you find it useful. If… READ MORE