Former Wealthcare Capital Management COO Schafer Joins Oyster as Director

Oyster Consulting welcomes Terry Schafer, expanding our Trading and Markets and Operations and Technology practices. The move increases our ability to help broker-dealers and investment advisors translate business, legal and regulatory requirements into workable business policies, processes and technology solutions. Schafer has 30 years of experience in financial services focused on investment banking capital markets,… READ MORE

Oyster Consultants Published in February Issue of the NSCP’s Currents Magazine

Oyster Consultants recently contributed the article “The SEC’S 2017 Priorities: What They Are and What Compliance Professionals Need to Know” to the National Society for Compliance Professional’s (NSCP) latest issue of Currents, the organization’s publication for industry professionals.  The article offers compliance professionals items to take into consideration for each topic. View the article: The SECS 2017… READ MORE

Reg SCI Compliance is a Good Idea for Everyone, Not Just Exchanges

What’s Happening: Remember Regulation SCI? Unless you are an exchange or a systemically important market participant, the answer is “probably not.” You’ve undoubtedly heard of the “Flash Crash” of 2010, or maybe the Nasdaq system problem that messed up the Facebook IPO, or the “glitch” on July 8, 2015 that halted trading on the NYSE…. READ MORE

“Regulation AT” – What You Need To Know About the CFTC’s Proposed Rules for Algorithmic Trading

The Commodity Futures Trading Commission (“CFTC”) on November 24, 2015, unanimously approved a series of proposed risk controls, transparency measures, and other safeguards to “enhance the regulatory regime for algorithmic order origination and electronic trade execution on U.S.-designated markets (“DCMs”) but not on swap execution facilities (“SEFs”).” These proposals, which are set out in a… READ MORE

Transparency and Strong Regulation Pay Off for Emerging Markets

On July 25 the Nigerian Stock Exchange (NSE) was named the “African Regulator of the Year” at the 6th African Business Leadership Forum & Awards, held in London. The award, sponsored by African Leadership magazine, was given to the NSE for its effective regulatory policies and programs implemented across national, regional and international level. These… READ MORE