FINRA Releases 2020 Exam Priorities Letter

On January 9, 2020, FINRA released its 2020 Risk Monitoring and Examination Priorities Letter.  While many of the priorities are continuations from previous years and all areas are important, the recent Letter pointed to some new or refined focus areas: Sales Practices Regulation Best Interest:  There are still many firms that have not started the… READ MORE

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

Former Director of Rubicon International Joins Oyster Consulting as Relationship Manager

Financial services consulting firm adds relationship manager to assist with growth Oyster Consulting announced today that it has hired Gena Spitzer, former Director and Team Leader of Rubicon International. The move expands the consulting firm’s client services, as Oyster continues it’s ascent as a regulatory and compliance leader. Spitzer is the former Director and Team… READ MORE