Regulatory Supervision: Trade Desk Review

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Enhance your supervision compliance efforts: take proactive steps to minimize risk exposure with Oyster’s tailored solutions.

FINRA Supervision Challenges

Trade desks face multifaceted challenges, from ensuring regulatory compliance to managing risk exposure and optimizing operational efficiency. Compliance with rules, including FINRA Rule 3110 on supervision, is paramount. Increased regulatory scrutiny on TRACE reporting and Best Execution further complicates matters.

With the ever-changing landscape and heightened regulatory expectations, trade desks require robust support to navigate these challenges effectively. Oyster Consulting provides the necessary guidance and support to ensure compliance with regulatory obligations and operational excellence.

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Best-in-Class Risk Management Support

  • Navigate Regulatory Requirements: The dynamic regulatory landscape demands meticulous oversight. Oyster’s experts guide you through FINRA Rule 3110 supervision, ensuring adherence to regulatory standards and minimizing risk exposure.
  • Heightened Supervision Needs: For firms requiring FINRA heightened supervision, Oyster provides specialized support to meet stringent requirements.
  • Advanced Surveillance Solutions: Leverage Oyster’s expertise in electronic communication supervision and surveillance tools to monitor trading activities effectively, safeguarding against regulatory infractions.
  • Reporting and Trade Execution Compliance: Stay ahead of regulatory scrutiny with Oyster’s guidance on TRACE reporting and best execution practices.
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The Oyster Difference

Oyster’s consultants offer a unique blend of industry experience and regulatory expertise, enabling you to optimize trade desk efficiency while maintaining compliance. We’ll ensure your trade desk operations are designed to achieve compliance with the FINRA supervision rules. Trust Oyster to elevate your compliance program, driving sustainable growth and success.

Meet Our Consultants

 

 

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.