We understand the complexity of running a broker-dealer firm. Oyster Solutions helps broker-dealers solve for complex regulatory requirements: suitability, Reg BI, breakpoint/share class requirements and trade reporting.
Leverage Oyster Solutions to manage your Consolidated Audit Trail (CAT) reporting. Our platform consolidates reporting events, provides error analysis and validation by aggregating all trading and CAT reporting data into one program, making corrections to your filings in bulk.
Automated workflows allow your employees to complete their tasks efficiently and consistently, including branch exams, Rule 3120 and AML requirements. Default alerts and workflows are built into the system to get you up and running quickly. Alerts and workflows are configured to your broker-dealer firm’s business lines and processes. Alerts are sent to the right employees at the right time – focusing your firm on issues while eliminating the noise.