Oyster LLC Logo
Partner, Co-Chair, Broker-Dealer Regulation, Katten Muchin Rosenman LLP
Podcast
Ever wondered how to turn a regulatory exam into a strategic advantage? Join our discussion (Part 1 of 2) with former regulators Patrick Dennis, Evan ...
In Part 2 of our series on common compliance mistakes, Oyster’s regulatory compliance experts tackle the common pitfalls firms encounter with policy...
Blog
Types of Compliance Risk Over the last several years, examinations have evolved to become more risk-based and data driven. Both FINRA and the SEC have...