By Buddy Doyle and Ed Wegener
Know Your Risk, Control Your Risk
Now available as a recording:
Understand Risk-Based Regulatory Exams
To Improve Your Firm’s Exam Results
Our panel of former regulators and industry experts help you:
Assess Your Firm’s Risk
Improve Regulatory Relationships
Identify Steps to Impact Risk Assessments
Learn How to Make Your Compliance Program Audit Ready
Learn How FINRA’s Risk Assessments Impact Exam Frequency and Scope
About The Authors
As the CEO of Oyster Consulting, Buddy Doyle has led the charge to create a successful organization built on the belief that transforming experienced industry practitioners into consultants adds more value to our clients.
Ed Wegener is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as technology optimization and risk mitigation. Prior to joining Oyster, Ed held several posts in FINRA, most recently as Senior VP and Midwest Regional Director.
eBook
Download the Capital Markets Services eBook to learn about CAT Reporting, Trade and Position Reporting, Market Access and Best Execution.
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