Regulatory Response

Understanding how regulators use information, what they expect and the best way to interact with them can be a vital skill when it comes to responding to a regulatory inquiry.

Oyster’s experts have years of experience with FINRA and SEC regulators from all over the country. Our employees are former regulators themselves, compliance officers and C-Suite executives that have addressed an array of regulatory challenges.

Support When You Need It

When regulators come to your office to conduct an examination, our powerful team can support your compliance department. If you have had an exam that produced findings our team will work with you to remediate the findings and provide industry best practices.

Exam support and response are included in Oyster’s outsourced CCO services.

Outsourced CCO

Independent Consultant Services

Oyster also serves as an Independent Consultant in both the pre-and post-settlement process.  As an Independent Consultant for Broker-Dealers and RIAs, Oyster has addressed many different FINRA and SEC regulator concerns around challenges related to enhanced due diligence, AML compliance, high frequency trading, annuities and supervision, just to name a few topics.

Our 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.