By Oyster Consulting LLC
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Blog
FINRA’s 2023 Examination and Risk Monitoring Program priorities have been published and, not surprisingly, Best Execution is once again identified as a top area of focus. FINRA does a thoughtful and thorough job of clearly outlining areas of focus and firm vulnerabilities. With respect to Best Execution, FINRA reminds firms that in any transaction for […]
Podcast
Each year, financial services industry regulators produce what are generally known as Exam Priorities. In this podcast episode, our Compliance experts review FINRA’s exam priorities – what’s new along with the highlights you should be aware of. This annual report is a helpful tool to identify what FINRA is seeing during their examinations and what […]
article
Oyster Consulting is happy to announce that Lisa Robinson has joined Oyster Consulting’s Governance, Risk and Compliance team.