Market Access

Be Proactive

Whether you want to ensure that your Market Access program meets regulatory requirements before certifying, or you just want to make sure your program is achieving compliance, regularly reviewing your program can save you time and prevent headaches. If your firm has or provides market access, FINRA will want to see that you have reasonably designed risk-management controls and WSPs to manage the financial, regulatory and other risks associated with this business, including capital limits, governance and post-trade surveillance.

The Oyster Difference

Our experienced team can design a Market Access program specific to your firm’s unique lines of business. If your program is already in place, we will review your controls to ensure the parameters are properly set and that a process is in place to test and amend those controls. Our team will determine and document that the controls are testing and controlling the appropriate processes, and that they are working as designed. Our review also addresses risks your firm may be taking by relying on controls set by other third parties without your input.

When Oyster Consulting reviews your Market Access program, you can be confident that you have identified and tested the right areas with the right frequency and that you have the proper documentation to prove compliance.