Oyster LLC Logo
Partner, Co-Chair, Broker-Dealer Regulation, Katten Muchin Rosenman LLP
Article
Tech Stack Audit: How to Ensure Your Tools Are Compliance-Ready Is Your Tech Stack Really Supporting Compliance? As regulatory expectations intensify ...
Clearing Tech Solutions for Financial Firms: What to Consider For broker-dealers, the clearing firm relationship goes far beyond trade execution and s...
Best Practices for Integrating Technology into Your Compliance Program In today’s regulatory environment, financial firms can’t afford to treat co...