Remediation Services for Broker-Dealers and RIAs

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Ensure regulatory compliance and protect your wealth management firm with Oyster’s remediation services.

Why Remediation Matters

Consequences sound like a vague concept until the SEC examiner is sitting across the table. When facing regulatory challenges, swift and effective remediation is crucial to safeguarding your firm’s reputation and financial well-being. Reduce the risk of enforcement actions, protect your reputation, and show regulatory agencies your dedication to compliance.

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Regulatory Remediation Support

Oyster Consulting offers comprehensive remediation services tailored to the specific needs of broker-dealers and registered investment advisors (RIAs). Our experienced team assists firms in both pre- and post-regulatory settlement engagements. We have experienced FINRA compliance consultants, as well as SEC compliance consultants. We’ll guide you through a process of addressing regulatory concerns and implementing remedial actions.

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Pre-Settlement Engagement

Engaging Oyster as an independent consultant signals to regulatory authorities that your firm takes compliance seriously. Our team collaborates with you to refine processes and procedures, ensuring alignment with regulatory guidance and best practices. By proactively addressing compliance issues, firms can demonstrate their commitment to compliance and minimize the risk of enforcement actions.

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Post-Settlement Remediation

Following a regulatory settlement, Oyster helps firms reframe and transform their compliance practices to bridge regulatory gaps. Our experts collaborate with you to create and put in place corrective actions that boost your compliance and reduce future regulatory risks. With customized solutions and proactive advice, we assist companies in managing post-settlement remediation challenges and fostering a compliance-focused culture.

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Expert Regulatory Response

Oyster’s team of former regulators, compliance officers, and industry executives brings unparalleled expertise to regulatory response efforts. We assist firms in crafting regulatory responses, managing remediation projects, and interacting with regulators to address inquiries and enforcement actions effectively. Our consultants have years of experience dealing with FINRA and SEC regulators. We provide strategic guidance and support to help firms navigate regulatory challenges with confidence.

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The Oyster Difference

At Oyster Consulting, our team of former regulators, industry executives, and SEC and FINRA compliance consultants provide tailored compliance remediation solutions. With proactive support and comprehensive services, we help financial services firms meet regulatory requirements and mitigate reputational risks. Trust Oyster Consulting to guide you through regulatory challenges and ensure compliance for lasting success

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Our Process

Step 01


We listen to your goals and priorities. We foster significant transformation by encouraging a dialogue that goes both ways.

Step 02


We make a plan and schedule to give your team the best financial service industry experience for your project.

Step 03


Oyster ensures regular communication to oversee and strengthen the financial compliance management project objectives while accomplishing project tasks.

Step 04


Oyster offers financial services regulatory compliance support to meet your goals and expectations.