Oyster Stew - A Broth of Financial Services Commentary and Insights
180 episodes - English - Latest episode: 6 days ago - ★★★★★ - 7 ratingsOur financial services industry insights come from on-the-ground experience, successfully navigating complex challenges and business. Our insights are your opportunities.
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Episodes
Pros and Cons of Platform Ownership for Investment Advisors and Broker Dealers
June 27, 2024 12:00 - 26 minutes - 18.2 MBIf you are a start-up or an established wealth management firm, determining whether you want to manage your own operating platform or outsource it is an important strategic decision. There are many factors to consider, from cost and available resources to integration and client experience. In today’s podcast Oyster experts Dan Garrett and Jay Donlin share their expertise on what goes into establishing and managing your own platform, common pitfalls and using out-of-the-box vendors vs cus...
How To Launch Your Alternative Trading System (ATS) - Insights and Challenges
June 14, 2024 12:00 - 15 minutes - 10.9 MBIn today’s podcast Oyster experts share their insights into what to think about as you prepare to register an alternative trading system, or ATS. Jeff Gearhart and Lisa Robinson will discuss challenges and misconceptions, and then Lisa will take us through some highlights of the FINRA application process. We finish up with other things to consider once your ATS is up and running. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follo...
Modernizing FINRA Rule 4210: Impacts to Market Makers and the Role of Automation
May 28, 2024 20:00 - 24 minutes - 16.6 MBAfter nearly a decade of delays, FINRA is finally enacting amendments to Rule 4210. The new Covered Agency Transaction requirements became effective May 22nd, 2024. Oyster’s Jeff Gearhart, Jose Fernandez and Stephen Mellert, co-founder of Matrix Application’s margin calculator, share their insights into what the new rule means for market makers, the capital implications, and the importance of automation. Oyster Consulting has the expertise, experience and licensed professionals you nee...
FINRA Focus Areas: Communications, Reg BI and Complex Products
May 06, 2024 13:00 - 41 minutes - 28.5 MBIn today’s our experts discuss an area where FINRA spends a lot of resources – Communications and Sales. We’ll look at challenges our clients are facing and best practices when it comes to: · Communications with the Public and Advertising · Reg BI and its focus on the Care Obligation · Complex Products, from variable annuities to private placements Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on Link...
Broker-Dealer Technology: Tomorrow's Platform Transformation Today
May 02, 2024 12:00 - 22 minutes - 15.5 MBOyster experts Pete Bowman and Dan Garrett share their insights into what the broker-dealer community is facing when it comes to evolving platforms, changing business models, AI technology, firm acquisitions and the platform consolidations that happen afterward. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need...
AI in Wealth Management - FINRA, Supervisory Obligations and Protecting Clients
April 18, 2024 13:00 - 38 minutes - 26.3 MBOyster Consulting experts Casey Dougherty, Dan Garrett and Bryan Jacobsen discuss FINRA’s exploration of AI, supervisory obligations with regard to outsourcing AI technology to firms, and best practices for maintaining compliance and protecting clients. Learn more in our previous podcast, part 1 of the series, as our experts share their insights on AI's impacts on Regulation Best Interest and recordkeeping, with a special focus on how the SEC’s actions around AI will affect compliance te...
AI in Wealth Management - SEC Actions, Best Interest Rules and Recordkeeping
April 10, 2024 18:00 - 37 minutes - 25.7 MBThe wealth management industry is shifting towards more data-driven, personalized and secure services. In this week’s Oyster Stew podcast, Oyster experts discuss the industry’s relationship with AI today, the role of Artificial Intelligence in Best Interest rules and recordkeeping, and the impacts of the SEC’s AI initiative. Get Oyster's insights into what SEC sweeps and investigations mean for Compliance teams, and what firms should be doing to mitigate the risks that come with adopting A...
Cyber Risk Management: Insights for CCOs
March 13, 2024 10:00 - 26 minutes - 18.3 MBIn today's episode of the Oyster Stew podcast, Oyster experts Len Derus and Tim Buckler delve into a crucial topic: Regulatory expectations and observations regarding cyber risk management. Learn more about the responsibilities of Chief Compliance Officers (CCOs) and what the regulatory focus on cybersecurity means for compliance programs. Join us as we examine the key insights from FINRA's annual report, new SEC rules, and the implications for wealth management firms. Oyster Consulting...
SEC Rule 15b9-1 Expands FINRA Oversight: Insights into FINRA Membership Requirements
February 28, 2024 16:00 - 31 minutes - 21.5 MBOur experts and special guest Susan Light, Partner and Co-chair of Broker Dealer Regulation at Katten Muchin Rosenman LLP, explore the new SEC rules expanding the number of firms required to register with a self-regulatory organization. They share their experience and insights into the rule changes, including what it means for the firms who must comply, the FINRA registration application process, challenges non-broker dealer entities may experience adapting to FINRA membership, and how FIN...
FINRA AML Expectations - The 2024 Annual Regulatory Oversight Report
February 23, 2024 13:00 - 39 minutes - 27.1 MBOyster's seasoned professionals will share their experience, providing invaluable insights into FINRA's AML priorities. From customer due diligence to transaction monitoring, they'll guide you through the key considerations identified by FINRA, empowering you to elevate your AML framework. They also explore the findings unearthed in FINRA's examinations. Our experts will discuss prevalent issues discovered, offering tangible solutions to address them head-on. Whether it's enhancing custom...
Drivers of Change - The Clearing & Custodian Transformation
February 01, 2024 15:00 - 23 minutes - 15.8 MBIn this week's Oyster Stew Podcast, our Strategic Planning and Execution experts, Pete Bowman, Pete McAteer, Jay Donlin, Jeff Wilk, and Jeff Gearhart share their perspectives on the four critical areas that are transforming the clearing and custodian industry: Technology advances and accessibility are reshaping how firms look at clearing and custodian services. Economics, from interest rates to market fluctuations, emerge as a significant player. Client Engagement: Firms must determin...
Compliance Across The Industry - Lookback to 2023
January 17, 2024 18:00 - 41 minutes - 28.4 MBA lot has happened in the last year when it comes to compliance in the financial services industry. Today our consultants share their perspectives and what we heard from our clients about the following areas of regulatory focus, including DOL Retrospective Reviews, outside business activity monitoring, private fund rules, direct business, off channel communications, cybersecurity, and FINRA's branch inspection pilot program. Oyster Consulting has the expertise, experience and licensed pro...
How to Successfully Manage Regulatory Remediation
January 10, 2024 19:00 - 24 minutes - 16.8 MBWhen regulatory remediation is required and your firm is working under consent orders, it is important for financial services firms to have a plan to efficiently execute the process to avoid excess disruption, manage risk and reputational damage, and to navigate the firm's continuing relationship with the regulators. In today’s podcast Oyster’s Tim Buckler and Paul Saroj, SVP of Regulatory Enforcement remediation at Simpluris, talk about the remediation process, from data crunching to mailin...
Dispute Resolution - Managing Customer Complaints & Regulatory Inquiries
November 30, 2023 13:00 - 47 minutes - 33 MBA necessary part of any financial services firm’s business is handling disputes that arise. Whether it's a complaint from a customer, litigation, regulatory inquiries and investigations, firms need to have a well-thought-out process for handling these disputes. In today’s podcast, Oyster Consulting experts Ed Wegener, Evan Rosser and John Ivan discuss · how to approach the dispute review · how to work with and manage interactions with key stakeholders · managing...
SEC Exam Priorities - Broker-Dealer Trade Practices
November 16, 2023 15:00 - 23 minutes - 15.8 MBEach year the SEC publishes its exam priorities for the coming year. Join us for today’s podcast as Oyster Consulting’s Capital Markets experts Jeff Gearhart, Frank Childress and Jose Fernandez share their thoughts on the priorities related to broker-dealer trading practices including: · Rule 15c2-11 · Reg SHO · Reg ATS and filing requirements Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn ...
Successful FINRA CAT and CAIS Reporting - Part 2
November 02, 2023 13:00 - 24 minutes - 16.6 MBJoin us for Part 2 of our discussion with Mark Hendrickson from D.A. Davidson Companies about where CAT and CAIS reporting stands today, the pain points firms are facing and what they should be doing to manage the current and upcoming reporting requirements. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need hel...
Finding Success with FINRA CAT / CAIS Reporting - Part 1
October 19, 2023 12:00 - 31 minutes - 21.8 MBFINRA’s Consolidated Audit Trail, or CAT, continues to evolve from account-centric trade reporting requirements to now including customer-centric CAIS reporting. Today's podcast guest is Mark Hendrickson, Head of Trading and Streetside Operations at DA Davidson Companies. Mark is also an Industry Advisory Committee Member representing clearing firms on the US Advisory Operating Committee of the Consolidated Audit Trail. Join us as Oyster CEO Buddy Doyle and Consultants Jeffrey Gearhart an...
Broker-Dealer Growth - Is Affiliation the Right Option?
October 04, 2023 14:00 - 17 minutes - 12.2 MBMany introducing broker-dealers are moving to affiliate with another broker-dealer. Join Oyster Managing Directors Pete Bowman and Dave Williams as they discuss what affiliation means for broker-dealers, what is driving firms to the strategy, and what part the advisory side of the business plays when firms consider affiliation. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry i...
Bond Dealer's Association Podcast: Listening Sample
September 18, 2023 12:00 - 6 minutes - 4.22 MBOyster’s Capital Markets experts were recently featured on the Bond Dealer Association’s podcast, “Bonding Time,” discussing issues affecting the U.S. fixed income markets. The podcast, hosted by Michael Decker of BDA, covers: Fair Pricing for Fixed Income products and compliance with Rule 2121, and MSRB Rule G30 Best execution and the SEC’s new proposal The latest on FINRA and MSRB trade reporting, including the proposals to shorten the trade reporting time to one minute SEC Rule 15...
How to Use FINRA Sweeps To Your Advantage - We Do and You Can, Too
August 31, 2023 13:00 - 29 minutes - 20 MBRegulatory exams and sweeps are enough to keep any CCO up at night. In today’s podcast, Ed Wegener and Len Derus, both former FINRA regulators, walk through what helps inform regulator decisions about what to look for in an exam, how regulators identify areas for a sweep, and how you can use sweep letters to your advantage. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insigh...
Registering a Broker-Dealer: The NMA and CMA Process Explained
August 04, 2023 15:00 - 29 minutes - 20.3 MBIn order to become a registered broker-dealer, you must be registered with FINRA. Applying for this membership is an extensive process with multiple steps. We receive many, many questions about submitting a New Member Application (NMA) with FINRA and when a firm needs to submit a Continuing Membership Application (CMA). In this episode of the Oyster Stew podcast, Oyster’s Ed Wegener and Lisa Robinson shares their thoughts on fast-track application, when a CMA is necessary, and what to think...
Broker Dealers - Navigating the Pressure to Sell and Innovate
July 13, 2023 14:00 - 17 minutes - 12 MBCEOs of broker-dealers are faced with the continuous pressure to innovate and increase profits. If these aren't happening, there is also pressure to sell. Successful broker dealers know that understanding how to navigate the demand for innovation and growth, or for changing the business model entirely is key for long-term prosperity. In today’s podcast, Pete Bowman, Managing Director of Oyster’s Strategic Planning and Execution team and Dave Williams, Head of Business Development look at ...
Exploring Business models for Peak Profitability
June 15, 2023 15:00 - 18 minutes - 12.5 MBPlatform technology, regulatory pressure, mergers and acquisitions are all driving financial services firms to re-evaluate their business models. In today’s podcast, Pete Bowman, Managing Director of Oyster’s Strategic Planning and Execution team and Dave Williams, Head of Business Development share their insights on how some firms are positioning themselves for the future. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us o...
Exploring Business Models for Peak Profitability
June 15, 2023 15:00 - 18 minutes - 12.5 MBPlatform technology, regulatory pressure, mergers and acquisitions are all driving financial services firms to re-evaluate their business models. In today’s podcast, Pete Bowman, Managing Director of Oyster’s Strategic Planning and Execution team and Dave Williams, Head of Business Development share their insights on how some firms are positioning themselves for the future. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us o...
The SEC Rules: How Modernizing Rule 605 Impacts Your Firm
June 01, 2023 12:00 - 27 minutes - 18.7 MBIn December 2022 the SEC offered 4 market structure proposals. The proposal to modernize Rule 605 was met with broad-based industry support. Oyster Consultant 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 doing to prepare. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry ...
Protect Your Vulnerable Customers: Combating Investor Fraud
May 18, 2023 13:00 - 27 minutes - 18.9 MBThe investing population has grown and so has their wealth. This is good for their finances, but also creates more opportunities for fraud and abuse. Bob Mooney, General Counsel of Oyster Consulting, and Ron Long, Principal of Long Life Consulting, walk through the issues around protecting elder and vulnerable investors against fraud and abuse, and what financial services firms are doing to combat it. Oyster Consulting has the expertise, experience and licensed professionals you need, all...
Unpacking DOL PTE 2020-02
May 04, 2023 16:00 - 23 minutes - 16.2 MBIn today’s podcast, DOL PTE 2020-02 experts Fred Reish, David Porteous and Joan Neri from the law firm of Faegre Drinker Biddle & Reath will be discussing the current state of the industry’s implementation, how different firms are approaching the requirements, self-correction, and what they see as the DOL’s approach. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or su...
DOL PTE 2020-02 - What Comes Next
May 04, 2023 16:00 - 29 minutes - 20.2 MBIn February, a US District Court judge challenged the DOL’s FAQs around the fiduciary investment advice definition to rollover recommendations. In today's episode, Part 2 of 2 discussing DOL PTE 2020-02, experts Fred Reish, David Porteous and Joan Neri from the law firm of Faegre Drinker Biddle & Reath join Oyster's Ed Wegener will be discussing this case and other legal challenges, and the impacts these will have, if any. Oyster Consulting has the expertise, experience and licensed profe...
Are You Ready To Outsource Your CCO?
April 20, 2023 12:00 - 34 minutes - 23.5 MBIn today’s episode of Oyster Stew, our seasoned outsourced CCOs walk you through things to consider when deciding to outsource your CCO role, from the expertise and expanded resources an outsourced CCO brings, to common mistakes inexperienced CCOs make and concerns firms may have around outsourcing such an important role. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insigh...
Digital Assets - What Happens Now?
April 04, 2023 16:00 - 14 minutes - 10.2 MBIn part 3 of our Digital Assets mini-series, Steve Gannon and Ed Wegener continue their discussion on the crypto landscape, the regulatory fallout around the determination of what constitutes a security, and the SEC’s actions. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!
Digital Assets - How We Got Here
April 04, 2023 16:00 - 17 minutes - 11.8 MBThe landscape for digital assets, cryptocurrencies and blockchain projects has become extremely complex. Regulators, developers and exchanges are struggling to provide clarity and guardrails without limiting innovation and profitability. Today, Ed Wegener and Steve Gannon, a partner at the law firm of Davis Wright Tremaine, walk through the evolution of the crypto asset class, including some of the common types of digital assets and digital asset projects. Oyster Consulting has the exper...
Digital Assets - The Regulatory Evolution
April 04, 2023 16:00 - 24 minutes - 17.1 MBIn part 2 of or Digital Assets mini-series, Steve Gannon and Ed Wegener continue their discussion of the Regulatory actions that are occurring around digital assets, including cases that the SEC is bringing, and where they see these cases going. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact...
Proactive Strategies for Reg BI, Sales & Communications
March 23, 2023 12:00 - 40 minutes - 28.2 MBAs part of our podcast series talking about FINRA’s 2023 Exam Priorities, today our experts share best practices and what we are hearing from our clients and the industry at large on Reg BI, Sales and Communications. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!
Bond Dealers Association Podcast: Sample
March 14, 2023 17:00 - 4 minutes - 2.99 MBOyster's Capital Markets experts were recently featured on the Bond Dealer Association's podcast, "Bonding Time," discussing issues affecting the US fixed income markets. Topics include SEC Rule 15c-211, TRACE and MSRB reporting, the FINRA Margin Rule (42-10), Best Execution, T+1 and Clearing Options. Enjoy a short sample of the original podcast. You can listen to the entire podcast here. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one...
Unmask the Risks: Protect Your Firm Against Financial Crimes
February 28, 2023 16:00 - 36 minutes - 25 MBMany leaders at broker-dealers have a strong belief that there is no money laundering occurring within their firm. Unfortunately, belief alone isn’t enough to satisfy the requirements and expectations of regulators. As part of our podcast series talking about FINRA’s 2023 Exam Priorities, today our experts dive into the Financial Crimes portion of the report around AML and manipulative trading. Oyster Consulting has the expertise, experience and licensed professionals you need, all unde...
5 Things to Know Before Registering with FINRA
February 23, 2023 13:00 - 15 minutes - 10.9 MBOyster’s Ed Wegener chats with Lisa Robinson, formerly a Senior leader at FINRA, head of FINRA’s Membership and Application Program group and currently a member of Oyster’s Consulting team. Lisa shares her unique perspective on FINRA's registration and Continuing Membership Application process, including what firms should consider. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our i...
Do You Really Need a Full-Time CFO?
February 02, 2023 12:00 - 8 minutes - 6.11 MBWhether you are searching for the right full-time employee but need someone right now, training someone internally, need a person with exceptional experience who can handle the complexity of your business or you just don’t need a fulltime position, outsourcing a role makes sense. Oyster’s General Counsel Bob Mooney and Consultant Fred Wagstaff share their thoughts on the value of hiring a fractional CFO. Oyster Consulting has the expertise, experience and licensed professionals you need, a...
FINRA 's Annual Report Is Out - Here's What You Need to Know
January 26, 2023 17:00 - 17 minutes - 11.7 MBEach 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 areas FINRA will be focusing on in the coming year. Learn how broker-dealers can use this tool to assess their supervisory system and make sure it...
The Regulatory Exam Process: How to make it work FOR you
January 13, 2023 13:00 - 36 minutes - 25.4 MBHow you manage the process of responding to a regulatory exam, whether it is routine exam, a sweep or an investigation can influence how the exam goes, and possibly the outcome of the exam as well. As part of our series on managing exams and your regulatory relationships, Oyster’s experts provide best practices for managing the process of responding to exam requests. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on Lin...
Protect Your Trade Desk - Risk, Reputation and Regulatory Compliance
December 08, 2022 12:00 - 20 minutes - 14.1 MBRegulators demand strong governance and supervision of sales and trading activities, including access to markets, electronic trading and client transactions. In today’s podcast, Oyster’s trade desk experts share their first-hand experience in trade desk risk management, operations and compliance oversight. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to o...
Protect Your Trade Desk - Risk, Reputation and Regulatory Compliance
December 08, 2022 12:00 - 20 minutes - 14.1 MBRegulators demand strong governance and supervision of sales and trading activities, including access to markets, electronic trading and client transactions. In today’s podcast, Oyster’s trade desk experts share their first-hand experience in trade desk risk management, operations and compliance oversight.
How to Optimize Your Trade Desk
November 30, 2022 19:00 - 12 minutes - 8.92 MBTrade desks can drive revenue growth and profitability, differentiate products and services, and be a fundamental need for advisor and investment services. In today’s podcast, Oyster’s Capital Markets experts share their industry experience around starting and managing a successful trade desk. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly...
Cut to the chase - Get the Best Clearing Firm Options
November 17, 2022 13:00 - 22 minutes - 15.6 MBYour clearing and custodial partnerships touch every part of your business: your clients, financial professionals, technology platform, operations, digital experience and compliance are just some of those dependencies. And don’t forget about the impact on your P&L. In today’s podcast, Oyster’s clearing and custodian experts share their experience with managing clearing platform technology, consulting and integration, including utilizing the other services these firms offer. Oyster Consu...
15 Tips to Create an Effective Compliance Calendar
November 11, 2022 17:00 - 25 minutes - 17.5 MBRisk assessments help prioritize your tasks and testing, and of course, the rules dictate what is required to be done to remain compliant. So how do you make sure you are following the rules and protecting your firm? In today’s podcast, Oyster compliance experts, who work a variety of clients and business models, share tips they’ve learned on how to build an effective and efficient compliance calendar. Oyster Consulting has the expertise, experience and licensed professionals you need, ...
15 Tips to Create an Effective Compliance Calendar
November 11, 2022 17:00 - 25 minutes - 17.5 MBRisk assessments help prioritize your tasks and testing, and of course, the rules dictate what is required to be done to remain compliant. So how do you make sure you are following the rules and protecting your firm? In today’s podcast, Oyster compliance experts, who work a variety of clients and business models, share tips they’ve learned on how to build an effective and efficient compliance calendar.
What Can Happen When You Start Managing Your Clearing Relationship At an Executive Level
November 10, 2022 13:00 - 12 minutes - 8.91 MBYour clearing and custodial partnerships touch every part of your business: your clients, financial professionals, technology platform, operations, digital experience and compliance are just some of those dependencies. And don’t forget about the impact on your P&L. In today’s podcast Oyster’s clearing and custodian experts Dave Williams, Jay Donlin, Pete McAteer and Jim Roth share how you should manage your clearing and custodian relationships at the executive level. Oyster Consulting ...
Want to Improve Your Compliance Program? Know What Controls to Test
October 26, 2022 18:00 - 29 minutes - 20.2 MBCreating a risk assessment lets you know where the risks are and where to focus your compliance efforts. Once you have a risk assessment, knowing which controls to test and how often is the next step to strengthening your compliance program. But how do you know which controls and how often you should test them? In today's podcast, Oyster experts share their expertise on successfully designing tests around risk controls. Oyster Consulting has the expertise, experience and licensed professi...
ESG Investment Strategy - Do It Right or Don't Do It
October 20, 2022 19:00 - 26 minutes - 18 MBThe markets continue to evolve, and so do the products offered to investors. In today’s market ESG investing remains a hot topic for clients, regulators and in the news. Deciding whether or not to offer ESG products requires strategic planning, risk measurement and compliance. In today’s podcast Oyster CEO Buddy Doyle along with consultants Bill Reilly and Jeff Wilk share what they have seen in the industry as firms decide whether to offer these products, and what firms should consider, inc...
Strategies To Get The Most Out Of Your Risk Assessment
October 19, 2022 15:00 - 26 minutes - 18.1 MBIn our previous podcast our experts shared why they use risk assessments and the benefits having a risk assessment can provide. In today’s Oyster Stew podcast, Oyster’s experts share best practices and ways to leverage your risk assessment to strengthen your compliance program. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. ...
We've Been Using Risk Assessments for Years - Here's Why
October 13, 2022 14:00 - 18 minutes - 12.7 MBRegulators have been approaching their exams and regulatory requirements from a risk-based perspective, and use those assessments to evaluate how firms are controlling for the risks they have. In today’s podcast, Part 1 of 2 about using Risk Assessments as a tool in your compliance program, Oyster’s experts share why they use risk assessments and why you should, too. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on L...