Regulatory Expertise for Capital Markets

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Navigate regulatory complexity in capital markets: consulting solutions for compliance success.

Address Capital Markets Challenges Head On

Firms today face a myriad of challenges and regulatory requirements that can be overwhelming to manage alone. Technology advancements are driving faster trading environments and regulators are intensifying their focus on compliance. Firms must navigate a maze of rules and regulations to maintain market integrity and client trust.

Moreover, the consequences of non-compliance can be severe, ranging from financial penalties to reputational damage. From trade reporting to ensuring compliance with ever-changing regulatory mandates, staying ahead of the curve requires expert guidance.

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Enhancing Trading Desk Efficiency

Trading desks serve as the backbone of revenue generation in capital markets, requiring streamlined operations and effective controls. Oyster consultants conduct comprehensive reviews of trade processes, controls, and operations procedures to identify areas for improvement. We empower firms to enhance trading desk efficiency, drive revenue growth, and differentiate their products and services.

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Comprehensive Market Access Compliance

Regulatory requirements such as Reg SCI, Reg SHO, and Market Access Rule 15c3-5 demand rigorous compliance measures to protect market integrity. Oyster assists firms in assessing risk, testing controls, and ensuring regulatory compliance. Our consultants offer guidance to validate program adequacy, conduct effective testing, and address regulatory inquiries, providing peace of mind in navigating market access compliance.

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Streamlined CAT/CAIS Reporting

Oyster’s regulatory and trade reporting expertise, combined with our CAT reporting application, facilitates seamless compliance with CAT reporting obligations. Our CAT Application platform centralizes reporting events, error analysis, and validation data, streamlining the CAT reporting process. Additionally, our CAIS module enables firms to prepare for full CAIS reporting through Interim Reporting Obligation compliance.

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End-to-End Trade Reporting Services

For capital markets, staying compliant with evolving regulations is paramount. Oyster ensures firms adhere to regulatory trade reporting requirements. Our comprehensive review encompasses written supervisory procedures, organizational structure, and system documentation, identifying and addressing any gaps in the reporting process. With tailored trade reporting services, we empower firms to maintain compliance and uphold market integrity. We offer trade reporting and compliance support around:

  • LOPR – FINRA Rule 2360(b)(5) and exchange rules
  • Short Interest Reporting – FINRA Rule 4560
  • INSITE Reporting – NASD Rule 3150
  • Margin Reporting (Portfolio and Margin Balance) – FINRA Rule 4521, NASD Rule 2520 and various exchange rules
  • TRACE Reporting – FINRA’s 6700 series of rules
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The Oyster Difference

At Oyster Consulting, we understand the challenges that firms encounter in the capital markets arena. Our team of regulatory experts and consultants brings extensive experience and deep industry knowledge. We’ll help you overcome these challenges and achieve compliance success.

Whether you’re struggling with trade reporting obligations, seeking to optimize your trading desk operations, or grappling with complex regulatory requirements, we’re here to support your firm’s growth and success.

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