Consequences sound like a vague concept until the SEC examiner is sitting across the table.
Conducting your business within regulatory guidelines can go a long way to reducing the risk of an enforcement action. Get in front of enforcement action and design your response to issues with a system of compliance that works within your firms goals, structure and risk tolerance.
Oyster often works with firms or outside counsel to define, design, implement and manage remediations that limit the cost and reputational damage of an enforcement action.Independent Consultant SEC/FINRA
Starting with key stakeholders and leadership, we make sure your project goals are understood and aligned to project deliverables.
We customize your project timeline, scope and deliverables. We then translate these into key milestones for quality control and assurance.
Oyster monitors and reinforces project goals while achieving project deliverables.
Whether it is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations