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

Alert – The SEC Division of Investment Management Issues Robo Advisor Guidance Update

Regulators are taking a close look at electronic investment advice. After specifically mentioning the topic in the SEC’s  2017 Exam Priorities Letter, last week the SEC Division of Investment Management issued a Guidance Update covering: Disclosures to be made about the robo-advisor and the services offered Advisor’s obligation to obtain client information necessary to providing… READ MORE