RIA Compliance Program Review | Oyster Consulting

5 Things to Know About NASAA’s Model Rules

December 21, 2020

NASAA published two model rules in November 2020 related to continuing education requirements and written policies and procedures. While each state determines whether to adopt model rules, you should familiarize yourself with the requirements, not just so you can comply, but because some of the requirements are just good business practices. Get ready for more […]

5 Things for Compliance Professionals to Consider When Budgeting and Planning for 2021

November 17, 2020

For most of us, 2020 did not turn out exactly as planned, but it did create challenges and opportunities that will likely have an impact on how business operates for years to come. In times of rapid change, it is important to that your organization changes together. This year, CCOs need to be extra diligent […]

Oyster Stew Podcast Mini-Series! Regulators – Behind the Scenes

November 13, 2020

This week we are launching our new Oyster Stew podcast mini-series, Regulators – Behind the Scenes. Join former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener as they share their experiences and perspectives as former state and federal regulators around regulatory exams and issues. Some things you just won’t learn from a textbook, like managing your relationship with […]

Regulators – Behind the Scenes: Episode 5

November 13, 2020

Join Oyster Consulting’s former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes. In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on the best ways to manage and even improve your relationship with regulators. Transcript Oyster: 0:09 Welcome to the Oyster Stew podcast, […]

Regulators – Behind the Scenes: Episode 4

November 13, 2020

Join Oyster Consulting’s former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators– Behind the Scenes. In each episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on document production and the value of cooperation with regulators, cultivating a culture of compliance and “tone at the top.” Transcript […]

Regulators – Behind the Scenes: Episode 3

November 13, 2020

Join Oyster Consulting’s former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators – Behind the Scenes. In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on Document Production and the importance of good communication with examiners. Transcript Transcript provided by Temi transcript services Oyster: Welcome […]

Regulators – Behind the Scenes: Episode 2

November 13, 2020

Join Oyster Consulting’s former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators – Behind the Scenes. In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on Document Production and the importance of good communication with examiners. Transcript Transcript provided by Temi transcript services Oyster: Welcome […]

State Regulatory Actions Increase 33% – NASAA 2020 Enforcement Report

November 3, 2020

The NASAA 2020 Enforcement Report, based on 2019 activity, summarizes enforcement activity reported by the 51 U.S. member jurisdictions. Enforcement actions against firms and individuals in 2019 totaled 2,755 actions, up 33% from 2018. Overall enforcement activities included: 6,698 Complaints Received 6,525 Investigations Initiated 2,755 Enforcement Actions (Including criminal, administrative and civil enforcement actions) 5,898 […]

Annual Review Best Practices – Do You Know What to Look For?

October 16, 2020

In this Oyster Stew podcast our experts discuss best practices for conducting broker-dealer and investment advisor annual reviews. Topics include testing your compliance program, including reviewing your compliance calendar to maximize the use of your time and resources, new products, system implementations and taking into account what’s different in today’s environment. They also discuss how Oyster […]

CCO – Behind the Scenes Episode 5

October 14, 2020

In this episode of CCO – Behind the Scenes, Jeffrey Hiller discusses what makes a good CCO, the importance of being a “straight shooter,” giving bad news. Listen as Jeffrey shares his real experiences and lessons learned during his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC’s Division […]

NASAA 2020 Annual Conference Discusses Regulatory Initiatives

October 13, 2020

The 2020 NASAA Annual Conference was held in a virtual format in early September 2020. Items of note discussed during the conference included Regulation BI, an update on the effects of increased social isolation on senior and vulnerable adult clients during the Coronavirus Pandemic, investment advisor model rules, and the creation of a new interface […]

CCO – Behind the Scenes Episode 3

September 30, 2020

Join Oyster Consulting’s Jeffrey Hiller in his new podcast mini-series, CCO – Behind the Scenes, as he shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC’s Division of Enforcement. Being CCO is more than just checking boxes. Listen and learn in these short discussions as Jeffrey shares his real […]

Posts by

5 Things to Know About NASAA’s Model Rules

5 Things for Compliance Professionals to Consider When Budgeting and Planning for 2021

Oyster Stew Podcast Mini-Series! Regulators – Behind the Scenes

Regulators – Behind the Scenes: Episode 5

Regulators – Behind the Scenes: Episode 4

Regulators – Behind the Scenes: Episode 3

Regulators – Behind the Scenes: Episode 2

State Regulatory Actions Increase 33% – NASAA 2020 Enforcement Report

Annual Review Best Practices – Do You Know What to Look For?

CCO – Behind the Scenes Episode 5

NASAA 2020 Annual Conference Discusses Regulatory Initiatives

CCO – Behind the Scenes Episode 3

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