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Annual Review Best Practices - Do You Know What to Look For?
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - April 16, 2020 15:00 - 21 minutes - 14.7 MB - ★★★★★ - 7 ratingsInvesting Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: FINOP Exam Priorities and COVID 19 Impacts on FINOP Procedures
In this episode Oyster CEO Buddy Doyle and Managing Director Polly Cordle discuss best practices for conducting broker-dealer and investment advisor annual reviews. Topics include testing your compliance program, including reviewing your compliance calendar to maximize the use of your time and resources, new products, system implementations and taking into account what's different in today's environment. Buddy and Polly also discuss how Oyster Solutions software can make producing your annual review a much more efficient process.
Oyster Solutions is one “solution” for many systems: