Market Access Program Consulting Services

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Ensure compliance and safeguard your firm’s reputation with expert guidance from Oyster Consulting.

Market Access Compliance Can Be Challenging

Ensuring compliance with market access regulations can be daunting. Firms face various challenges in managing their market access programs effectively while meeting regulatory requirements, such as:

  • Complexity of Regulations: Market access regulations, such as SEC Rule 15c3-5, can be intricate and challenging to interpret, leading to compliance gaps and potential regulatory scrutiny.
  • Managing Risk: Market access involves inherent risks, including financial, regulatory, and operational risks. Firms must implement robust risk management controls to mitigate these risks effectively.
  • Regulatory Scrutiny: Regulatory authorities, such as FINRA, prioritize market access compliance and conduct rigorous examinations to ensure firms adhere to regulatory requirements. Non-compliance can result in enforcement actions and reputational damage.
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Take A Proactive Approach to Risk Management

Stay ahead of regulatory requirements by proactively reviewing and refining your Market Access strategy. Regular reviews can save time and prevent compliance headaches as your firm prepares for certification or optimizing your existing program.

With FINRA prioritizing Market Access Rule 15c3-5 and initiating enforcement actions against non-compliant firms, having robust risk-management controls and written supervisory procedures (WSPs) in place is essential.

Our team can help you establish governance structures, set capital limits, and implement post-trade surveillance to effectively manage financial and regulatory risks associated with market access.

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Regulatory Response Solutions

Prompt and effective responses to regulatory inquiries or enforcement actions are essential for maintaining compliance and safeguarding the firm’s reputation. Oyster Consulting offers tailored regulatory response solutions to assist firms in addressing regulatory challenges and mitigating potential risks.

  • Thorough Analysis: We conduct a thorough analysis of the regulatory issue at hand, identifying the root cause and assessing the potential impact on the firm. Our team leverages industry expertise and regulatory knowledge to develop comprehensive response strategies tailored to the firm’s specific circumstances.
  • Strategic Planning: We work closely with the firm’s management team to develop a strategic response plan, outlining clear objectives, timelines, and action steps. Our goal is to ensure that the firm’s response is proactive, transparent, and aligned with regulatory expectations.
  • Documentation Support: We assist firms in compiling and organizing the necessary documentation to support their regulatory response. From gathering relevant records to drafting formal communications, we help firms present a cohesive and well-documented response to regulatory authorities.
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The Oyster Difference

When you choose Oyster Consulting for your Market Access needs, you gain access to unparalleled expertise and support. Our team’s deep understanding of regulatory requirements and real-world market dynamics enables us to provide strategic guidance. With Oyster’s Market Access consulting, you can have confidence in your program, knowing that you’ve identified and tested the right areas with the right frequency to achieve compliance effectively.

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Finding The Right Vendor

Firms often find that vendors fail to add value and become a source of frustration rather than support.


Industry Experts

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Overall Growth

Our consultants have specialized skills to help your firm achieve its business goals, growth objectives and maintain a system of reasonable compliance.

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