RIA Compliance Program Review | Oyster Consulting

ESG Investment Strategy – Do It Right or Don’t Do It

October 27, 2022

In today’s market ESG investing remains a hot topic for clients, regulators and in the news. Deciding whether or not to offer ESG products requires strategic planning, risk measurement and compliance.

Pay to Play – How to Protect Your Firm

October 25, 2022

There are a few important things to consider when establishing a risk assessment, policy, procedure and workflow around political contributions.

Compliance Tools: FINRA Risk Assessments

October 20, 2022

In podcast, Oyster’s experts share best practices and ways to leverage your risk assessment to strengthen your compliance program.

We’ve Been Using Risk Assessments for Years – Here’s What We Have Learned

October 13, 2022

In today’s Oyster Stew podcast, Part 1 of 2 about using risk assessments as a tool in your compliance program, Oyster’s experts share why they use risk assessments and why you should, too.

Keys To Effective DOL PTE 2020-02 Retrospective Reviews

October 11, 2022

It is time to start thinking about the annual retrospective review requirement.

State IAR Continuing Education Program Compliance

September 27, 2022

In November 2020, the NASAA membership voted to adopt a model rule to establish a continuing education (CE) program for investment advisor representatives (IARs) in each state adopting the model rule. In 2021 Maryland, Mississippi and Vermont adopted the regulation with implementation in 2022.

Best Practices for Modern Regulatory Exams

September 15, 2022

In this Oyster Stew podcast, we share best practices for making the most out of your regulatory exams and what happens after the exam is over.

8 Best Practices for Conducting Your Annual Compliance Program Review

September 7, 2022

The year is already more than half over, and now is a good time to begin planning your required Annual Compliance Report.

How Digital Transformation Impacts Client Communications

September 1, 2022

Oyster Consulting’s experts explore the evolution of client-focused technology, the risks for securities industry businesses and some of the ways we are seeing firms mitigate them.

Find the Best DOL PTE Technology For Your Firm

August 23, 2022

We have helped clients assess different vendor products and we will discuss how firms can effectively assess the different technology options available from vendors.

Top 10 Best Practices for FINRA Electronic Communications Compliance

August 18, 2022

Regulators are increasingly focused on electronic communications with the public and the use of unapproved personal devices. After several firms were fined, other firms have begun questioning whether or not their programs are robust enough to withstand that kind of scrutiny. In today’s podcast, Oyster Consulting experts Ed Wegener, Candy Palugi and Evan Rosser discuss […]

The Marketing Rule is Complex – Plan Ahead

August 9, 2022

One of the top compliance priorities for Registered Investment Advisors in the last half of the year is the SEC’s updated Marketing Rule for RIAs [SEC Rule 206(4)-1].

Posts by