SIFMA Anti-Money Laundering & Financial Crimes Conference

During SIFMA’s two-day Anti-Money Laundering & Financial Crimes Conference, learn about regulatory and examination priorities for 2021 and lessons learned from enforcement; participate in interactive financial crime case studies; and hear industry perspectives on the latest developments in the AML and financial crime space, including regulatory reform efforts, fraud trends and operational challenges related to… READ MORE

SIFMA CAT Implementation Update (virtual webinar)

As the securities industry works towards the final implementation of the Consolidated Audit Trail (CAT), join us for a two-part webinar, February 18 from 12-2 p.m. ET, on the remaining milestones that must be completed prior to the July 2022 deadline. Registration is complimentary for SIFMA members and industry regulators.

Oyster Consulting/NDSE Sponsor Technology Webinar

On January 31st Oyster Consulting and Network Data Security Experts, Inc. (NDSE) will co-host an invitation-only Cybersecurity Roundtable in Richmond, Virginia.  Among other items, topics discussed will include:   Cybersecurity Solutions for Businesses Cybersecurity and the Financial Services Industry VoIP Issues   Panelists: Buddy Doyle                                  Michael Pfaff                            James McKinney                                    … READ MORE

Webinar Recording Available: GDPR – Are You Protecting Your Clients’ Data?

On April 10, 2018 Oyster Consulting hosted a webinar discussing the General Data Protection Regulation (“GDPR”), designed to protect the rights and data of European Union citizens, that takes effect May 25, 2018.  This regulation is applicable, regardless of who holds the data or where that data is being held. Topics discussed included: The GDPR and… READ MORE

Recording Available: Starting Your Own RIA and Going Independent – What You Need to Know

Have you been considering whether now is the right time to open a Registered Investment Advisor (“RIA”)?  Navigating the complex regulatory requirements, making operational and technology decisions, and developing the financial analysis to know what the future holds may seem daunting. There are people willing to help you make an informed decision.  We invite you… READ MORE

Recording Available: Looking Out for the Baby Boomers: Are You Protecting Your Firm and Your Client?

The U.S. population is aging – in January 2011, thousands of Baby Boomers began turning 65 every day.   FINRA’s new rules to increase protections for vulnerable investors and to provide firms with guidelines to ensure these protections take effect February 5, 2018.  Is your firm ready to handle the issues that come with having senior clients? On… READ MORE

Starting Your Own RIA – What You Need to Know

January 24, 2018 at 3:00pm EST A recording of this webinar is now available RICHMOND, Va., Jan. 16, 2018 (GLOBE NEWSWIRE) — On Wednesday, January 24, Oyster Consulting LLC and Hirschler-Fleischer will host an interactive webinar on the key considerations for starting a registered investment adviser (RIA).  The attendee list will be kept confidential. Getting… READ MORE