From start to finish, Oyster Consulting helps firms identify opportunities, mitigate risk and achieve compliance.
A successful trading desk is aligned with your firm’s strategy, has the right reporting and surveillance systems in place, and mitigates risk. From trade desk and OEMS/OIMS platform evaluation to operations and compliance, our team uses our collective knowledge and experience to give you the tools and advice you need to make the best decisions.
Supervision and risk management practices are essential to minimizing the overall risk profile of your firm. Trade desks are no exception. FINRA Rules 3110, 3120 and 3130 mandate strong governance and supervision of sales and trading activities, including access to markets, electronic trading and client transactions. TRACE reporting and Best Execution continue to be under regulatory scrutiny. Oyster Consulting’s former regulators and trade desk managers provide guidance on industry best practices for compliance, supervisory procedures and reporting.
Our consultants bring a wealth of first-hand experience in trading and sales, risk management, operations and regulatory compliance oversight. Whether performing a regularly scheduled review or in the event of a change management event, Oyster will identify potential opportunities to improve your desk efficiency and profitability by reviewing trade processes, controls and operations procedures. Our consultants perform reviews of procedures, routing practices, technology, vendor solutions and disclosures, and will ensure that a “regular and rigorous” program is in place. Leverage our experience to make your compliance program efficient and effective.
Download the Capital Markets Services eBook to learn about CAT Reporting, Trade and Position Reporting, Market Access and Best Execution.
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Step 01
We listen to your goals and priorities. We create transformative change by inviting a two-way discussion.
Step 02
We customize your project by creating a scope and timeline to deliver the best experience for your team.
Step 03
Oyster maintains consistent communication to monitor and reinforce project goals while completing project deliverables.
Step 04
Whether your need is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations.
