Compliance Challenges for Dually-Registered Firms

By Oyster Consulting LLC

Wolters Kluwer invited Oyster Senior Consultant Robert Tuch, Esq. to write an article on “Compliance Challenges for Dually-Registered Firms,” which is in the latest issue of Practical Compliance & Risk Management for the Securities Industry. We hope you find it useful. If you would like to hear more on this topic please call Oyster Consulting at (804) 965-5400, or visit our website at www.oysterllc.com. We would also be happy to speak with you in greater detail about any other consulting needs your firm may have.

Compliance Challenges for Dually Registered Firms – Tuch.

Click here to view the latest, complete issue of “Practical Compliance & Risk Management for the Securities Industry.” Practical Compliance & Risk Management for Securities Industry

Colored pencils stacked on top of each other
eBook

Download the Capital Markets Services eBook to learn about CAT Reporting, Trade and Position Reporting, Market Access and Best Execution.

Download
Capital Markets eBook Cover Skyscraper
Colored pencils stacked on top of each other

Related Content

Microphone on black background. Horizontal composition with copy space. Clipping path is included.

Podcast

SEC Rules: How Modernizing Rule 605 Impacts Your Firm

In December 2022 the SEC offered four market structure proposals. The proposal to modernize Rule 605 was met with broad-based industry support.  In this week’s Oyster Stew Podcast, Frank Childress and guest Ted Karn, founder of The Karn Group, walk through what modernizing Rule 605 will mean for the industry, and what firms should be […]

Learn More
Peter Sheehan joins Oyster Cosnutling

article

Peter Sheehan Joins Oyster Consulting’s Business Development Team

Move adds to Oyster’s delivery of strategic, operational and compliance solutions to financial services firms RICHMOND, Va., May 31, 2023 — Oyster Consulting, a financial services consulting firm providing consulting, outsourcing and software services to wealth management firms, announced today that Peter Sheehan has joined the firm’s Business Development team.   One of the biggest […]

Learn More
Curved building shot from below

Blog

4 Key Takeaways from FINRA’s Annual Conference

FINRA’s annual conference was held in Washington, DC in mid-May with record setting attendance. This conference is always a great opportunity for compliance professionals and service providers to network and to hear the latest in regulatory developments. The theme of this year’s conference was ‘Future Focused.’ There were a number of panel discussions around technology […]

Learn More