Remediation
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/FINRARemediation
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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.
Regulatory Responses
Our professionals will help you craft regulatory responses, assist with remediation or sit at the table with you.
Regulatory ResponseOur Process
Step 01
Discover
We listen to your goals and priorities. We foster significant transformation by encouraging a dialogue that goes both ways.
Step 02
Plan
We make a plan and schedule to give your team the best financial service industry experience for your project.
Step 03
Implement
Oyster ensures regular communication to oversee and strengthen the financial compliance management project objectives while accomplishing project tasks.
Step 04
Deliver
Oyster offers financial services regulatory compliance support to meet your goals and expectations.