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
2023 Strategic Planning – Attracting Talent and Multi-Generational Clients
October 06, 2022 17:00 - 25 minutes - 17.4 MBIn our previous podcast about strategic planning for 2023, Oyster Consulting CEO Buddy Doyle and Head of Business Development David Williams talked about challenges we are hearing from our clients, from managing the effects of industry trends and technology to succession planning. In today’s Oyster Stew podcast, Buddy and Dave continue their conversation, sharing their thoughts on recruiting top talent and multi-generational wealth management clients, and some risks to consider. Oyster ...
2023 Strategic Planning – Navigating Industry Challenges
September 29, 2022 13:00 - 22 minutes - 15.2 MBMany Leaders are facing the same issues and challenges in today’s financial services industry: managing profitability, trying to hire good talent, and growing their business. Whether you are a member of an executive team or a business owner, your strategic plan is a critical element to the success of your organization. In today’s podcast, Oyster CEO Buddy Doyle and Head of Business Development Dave Williams talk about challenges we are hearing from our clients, from managing the effects of...
Consolidated Audit Trail CAIS Reporting - Time to Test and Prepare
September 22, 2022 12:00 - 22 minutes - 15.7 MBConsolidated Audit Trail reporting has reached a new regulatory stage, with upcoming Customer and Account Information System (CAIS) reporting requirements and interim obligations. Deadlines for achieving compliance with the requirements is December 12, 2022, only three months away. In today’s podcast, Oyster Consulting’s experts share what the CAIS reporting requirements are, issues we are seeing from our own clients as they go down this path, and what firms should be doing to meet the ...
Best Practices for Modern Regulatory Exams
September 15, 2022 13:00 - 22 minutes - 15.8 MBIn our previous podcast about modern regulatory exams, our experts, some of whom who are former regulators themselves, shared how exams have evolved in recent years, and how knowing what you can expect can help you prepare and navigate through the process. In today’s podcast, we share best practices for making the most out of your regulatory exams and what happens after the exam is over. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one ...
Keys to Successful Modern Regulatory Exams
September 08, 2022 14:00 - 14 minutes - 10.2 MBCompliance professionals often dread regulatory exams, but there are effective ways to handle them. In today’s podcast, hear from Oyster’s experts and former regulators how regulatory exams have become risk-based and data-driven, what is driving exam frequency and what the regulators are looking for. 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 ...
How Digital Transformation Impacts Client Communications
September 01, 2022 15:00 - 26 minutes - 18.4 MBDigital tools have evolved, making access to information and the ability to transact far easier then ever before for the average investor. However, there are risks and challenges around this technology. What does this mean for your business? In today’s podcast, Oyster Consulting’s experts explore the evolution of client-focused technology, the risks for securities industry businesses and some of the ways we are seeing firms mitigate them. Oyster Consulting has the expertise, experience ...
Want to Reduce Expenses in Your Budget? The Answer May Be Simpler Than You Think
August 25, 2022 12:00 - 17 minutes - 12.2 MBWe often look at how firms are reacting to and managing the rapid changes in the financial services industry. Reviewing the profitability of your firm is one process that can help you get and stay ahead of your competitors. In today’s podcast, Oyster Consulting’s experts discuss things to consider when optimizing your P&L, including best practices, risks around making changes and how you can mitigate them. Oyster Consulting has the expertise, experience and licensed professionals you n...
Want to Reduce Expenses in Your Budget? The Answer May Be More Simple Than You Think
August 25, 2022 12:00 - 17 minutes - 12.2 MBWe often look at how firms are reacting to and managing the rapid changes in the financial services industry. Reviewing the profitability of your firm is one process that can help you get and stay ahead of your competitors. In today’s podcast, Oyster Consulting’s experts discuss things to consider when optimizing your P&L, including best practices, risks around making changes and how you can mitigate them.
10 Best Practices for Electronic Communications Compliance
August 16, 2022 12:00 - 36 minutes - 24.9 MBRegulators are increasingly focused on electronic communications and the use of unapproved personal devices. After several firms were fined, other firms have begun questioning whether or not their programs are robust enough to withstand that kind of scrutiny. In today’s podcast, Oyster Consulting’s experts discuss challenges and best practices around these policies. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on Linke...
FINOP Focus - Expense Sharing Agreement Best Practices
August 11, 2022 13:00 - 12 minutes - 8.85 MBThe requirement for broker-dealers to provide to regulators their expense sharing agreements is not new, yet it still keeps coming up in FINRA’s exam priorities every year. In this Oyster Stew Podcast our experts discuss what is requirements and some of the finer points of creating expense sharing agreements. 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 subscrib...
Outsourcing Initiatives Can Save Time and Money - Is It Right for Your Firm?
July 28, 2022 14:00 - 15 minutes - 11 MBIn this Oyster Stew podcast, Oyster Consulting experts Pete McAteer, Jeff Wilk, Cody Davis and Jeff Gearhart share their insights on when it makes sense to leverage a consulting firm to help with initiatives outside the regular scope of your day-to-day business (and some projects you may not have thought about), and what can make it a success. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of ...
Outsourcing Initiatives Can Save Time and Money - Is It Right for Your Firm?
July 28, 2022 14:00 - 15 minutes - 11 MBIn this Oyster Stew podcast, Oyster Consulting experts Pete McAteer, Jeff Wilk, Cody Davis and Jeff Gearhart share their insights on when it makes sense to leverage a consulting firm to help with initiatives outside the regular scope of your day-to-day business (and some projects you may not have thought about), and what can make it a success.
Outsourcing Can Be An Advantage for Broker-Dealers - Is It Time For Your Firm?
July 19, 2022 18:00 - 13 minutes - 9.12 MBRegulatory and economic factors are impacting many firms' profitability. Join us as our experts discuss how some firms are grappling with the decision to retain their FINRA registration or to outsource some of the supporting roles. 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!
Best Practices for Overcoming Compliance Challenges
July 14, 2022 17:00 - 29 minutes - 20.6 MBRegulatory issues can have a major impact on a Compliance professional's career. Oyster's experts, who are former CCOs, talk about the issues they faced, from liability and escalation to managing the relationship between Business and Compliance. 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? Contac...
T+1 - 6 Things Your Firm Should Be Doing Now
July 07, 2022 12:00 - 17 minutes - 12 MBT+1 is currently slated for implementation in 2024, and if you aren’t planning for it now, you’re probably late. T+1 is more than a technology compression event – it will also require behavioral changes on both the buy and sell sides. In today’s Oyster Stew podcast, experts Jeff Gearhart, Frank Childress and Jose Fernandez share the six things your firm should be doing to prepare for implementation. Oyster Consulting has the expertise, experience and licensed professionals you need, all u...
AML Regulatory Expectations in 2022 Transcript
June 30, 2022 18:00 - 22 minutes - 15.2 MBThe recent press attention and the increased use of sanctions as policy are additional drivers to this focus on AML. In today's podcast, our experts share their thoughts on FINRA's 2022 expectations around AML, as well as challenges and best practices they have seen with our clients
AML Regulatory Expectations in 2022
June 30, 2022 18:00 - 22 minutes - 15.2 MBThe recent press attention and the increased use of sanctions as policy are additional drivers to this focus on AML. In today's podcast, our experts share their thoughts on FINRA's 2022 expectations around AML, as well as challenges and best practices they have seen with our clients 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....
Why Outsourcing your Annual Testing Makes Sense
June 23, 2022 16:00 - 28 minutes - 19.9 MBMany firms follow the best practice of using an independent firm every few years to conduct their annual testing. In this period high compliance turnover, the value of having an outside resource to carry some of the load, provide conflict-free validation and a fresh perspective makes sense. In today’s Oyster Stew podcast, our experts share their insights on the value of having an independent resource provide your testing. Oyster Consulting has the expertise, experience and licensed professi...
History Provides Focus for the Future - A History of Equity Markets (Part 2)
June 16, 2022 15:00 - 10 minutes - 7.03 MBEquity markets are changing so rapidly through products being offered, like digital assets, the technology used in trading, tracking and data management and the evolving regulations. In part 2 of the series, Oyster’s experts, Buddy Doyle and Frank Childress take a peek into the history of the US equity markets so we can learn what questions to ask today. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take ...
History Provides Focus for the Future - A History of Equity Markets (Part 1)
June 09, 2022 17:00 - 14 minutes - 10.1 MBEquity markets are changing so rapidly through products being offered, like digital assets, the technology used in trading, tracking and data management, and the evolving regulations. In today's podcast, Oyster’s experts, Buddy Doyle and Frank Childress take a peek into the history of the US equity markets so we can learn what questions to ask today. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advan...
Consolidated Audit Trail - Are You Ready for Phase 2e?
June 01, 2022 12:00 - 17 minutes - 12 MBCompliance for Phase 2e of CAT reporting will be effective July 11th, 2022. This is a complicated linkage event and there are things firms should be doing to prepare. In today's podcast, Oyster CEO, Buddy Doyle, and Oyster’s CAT expert Ralph Magee talk about the challenges our clients are seeing and things firms should be doing to be ready for this next phase.
Consolidated Audit Trail - Are You Ready for Phase 2e?
June 01, 2022 12:00 - 17 minutes - 12 MBCompliance for Phase 2e of CAT reporting will be effective July 11th, 2022. This is a complicated linkage event and there are things firms should be doing to prepare. In today's podcast, Oyster CEO, Buddy Doyle, and Oyster’s CAT expert Ralph Magee talk about the challenges our clients are seeing and things firms should be doing to be ready for this next phase. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to...
The Great Resignation - What It Means for Compliance
May 25, 2022 19:00 - 14 minutes - 9.84 MBOne trend in the financial services industry that we've seen recently is a significant increase in turnover in Compliance staff. Firms have challenges in quickly filling those roles. This podcast discusses this trend and what firms can do in order to mitigate the risks associated with this type of turnover. 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...
Behind the Scenes - Life as a CCO Part 2
May 12, 2022 15:00 - 9 minutes - 6.34 MBThere are many things you just can’t learn from a book or from studying for an exam. Join us for Part 2 of our look back at our popular series, ‘CCO – Behind the Scenes. Take advantage of the practical experiences shared by Jeffrey Hiller, a former CCO for global investment firms and SEC investigator. 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 ...
Behind the Scenes - Life as a CCO
May 12, 2022 11:00 - 15 minutes - 10.4 MBFinancial services compliance continues to evolve, but there are many things you just can’t learn from a book. Join us for Part 1 of our lookback at our popular series, CCO Behind the Scenes. Take advantage of the practical experiences shared by Jeffrey Hiller, a former CCO for global investment firms and SEC regulator. 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...
When To Leverage A Consulting Firm
May 04, 2022 15:00 - 16 minutes - 11.2 MBThere are significant changes happening across so many different facets of our industry, and often at a relatively high velocity. Whether it's social or technological, the advisory focused landscape or regulatory challenges, now is the opportunity for all of us to take a more strategic look at your business. In this Oyster Stew podcast, our experts discuss the many circumstances that cause the firms that we work with to make the decision to bring in a consulting firm. Oyster Consulting ha...
Digital Transformation - Your Roadmap for Success
April 25, 2022 15:00 - 9 minutes - 6.78 MBDigital transformation touches so many different aspects of how firms operate, how they interact with customers and how they manage critical data and records. In this episode of Oyster Stew, experts Jeff Wilk, David Altschul and Ed Wegener share best practices firms can deploy to begin their digital transformation. 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 sub...
Digital Transformation - Your Road to Success
April 25, 2022 15:00 - 9 minutes - 6.78 MBDigital transformation touches so many different aspects of how firms operate, how they interact with customers and how they manage critical data and records. In this episode of Oyster Stew, experts Jeff Wilk, David Altschul and Ed Wegener share best practices firms can deploy to begin their digital transformation journey.
Digital Transformation - Innovation & Agility For Growth
April 19, 2022 16:00 - 11 minutes - 7.62 MBCustomers now expect all forms of remote access and services, and firms are recognizing that these are now the staple of their customer experience, not the exception. Internal innovation and agility are a must, as the shift in culture within firms also takes place. In light of these changes, this podcast provides an in-depth conversation about why digital transformation is so important. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roo...
Digital Transformation - Control the Change
April 12, 2022 12:00 - 14 minutes - 9.92 MBToday's technology and rate of change creates new challenges for firms of all sizes. They must keep up with the developments, navigate a constant environment of change, and do it all with a clearly articulated digital transformation plan. This podcast episode provides an in-depth conversation about what is meant by digital transformation. 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...
Planning Your Exit
March 28, 2022 19:00 - 29 minutes - 20.4 MBIn today’s environment of acquisition and consolidation, thinking about succession and how you can monetize your assets should be a part of your strategic planning process. In this Oyster Stew podcast, Oyster’s CEO Buddy Doyle and Dave Williams, Head of Business Development, share their insights on the value of strategically planning your exit. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage o...
T+1 Brings Operational Challenges
March 23, 2022 15:00 - 12 minutes - 8.89 MBAlthough T+1 isn't scheduled to be implemented until 2024, there are a lot of things firms need to take into consideration well beforehand. In this Oyster Stew podcast, our experts, who all have extensive experience in trading and markets and conversions, share their insights on what firms should be thinking about at this stage and what steps can be taken to make sure they're ready. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Fo...
2022 Exam Priorities - Financial Management
March 17, 2022 16:00 - 30 minutes - 20.8 MBEach year FINRA releases its Report on FINRA's Examination and Risk Monitoring Program, previously known as FINRA's Exam Priorities. In this Oyster Stew podcast, FINOP experts Jeff Harpel, Clark Tucker and Fred Wagstaff share their insights and thoughts on FINRA’s Financial Management priorities. 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 mon...
Consolidated Audit Trail (CAT) - Where Are We Now?
March 15, 2022 12:00 - 13 minutes - 9.34 MBFINRA's Consolidated Audit Trail reporting requirements are steadily moving forward. Oyster experts provide an overview, discuss FINRA's CAT priorities, sweeps and pitfalls firms should avoid.
Consolidated Audit Trail (CAT) - Where Are We Now?
March 15, 2022 12:00 - 13 minutes - 9.34 MBFINRA's Consolidated Audit Trail reporting requirements are steadily moving forward. Oyster experts provide an overview, discuss FINRA's CAT priorities, sweeps and pitfalls firms should avoid. 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!
Starting Your RIA - Transitioning Your Book of Business
March 09, 2022 15:00 - 21 minutes - 14.7 MBAs you consider starting your own investment advisor, how to transition your book of business is always a hot topic for discussion. In today's podcast, Oyster experts Buddy Doyle, and Steve Anderson share their insights on Broker Protocol and other things to consider like employment agreements, commissions, and technology. 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 insight...
2022 FINRA Report - Market Integrity
March 02, 2022 16:00 - 30 minutes - 21.2 MBEach year, FINRA releases its Report on FINRA's Examination and Risk Monitoring Program, previously known as FINRA's Exam Priorities. In this podcast, Oyster experts Jeff Gearhart, Evan Rosser, Ralph McGee, and Frank Childress share their insights and thoughts on what firms should be doing around the Market Integrity portions of the report. This includes Consolidated Audit Trail (or CAT), Market Access, Best Execution, and Order Routing and Execution. Oyster Consulting has the expertise, ...
2022 FINRA Report - Communications, Operations and Sales
February 23, 2022 12:00 - 38 minutes - 26.2 MBOyster Consulting's experts give their insights on the 2022 Report on FINRA's Examination and Risk Monitoring Program. Topics include Reg BI, variable annuities, cybersecurity, Direct Business monitoring, SPACs, Private Placements and AML. 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 t...
Growing Your RIA Business
February 11, 2022 18:00 - 24 minutes - 16.9 MBWhether you are starting and RIA or are already running one, there are keys to growing a prosperous business. In this Oyster Stew podcast, our experts share their insights and experience to help you grow your business. 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!
Starting Your RIA - Choosing Your Entity
February 08, 2022 19:00 - 18 minutes - 12.6 MBWhen you form your own RIA, you must establish what type of entity you want to be. As part of our series on starting a Registered Investment Advisor, we’ll be talking about the different options and things to consider, like tax and cash flow ramifications, and the immediate, interim and long-term impacts of your choice. 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...
Turning Exam Priorities Into Action Items
February 03, 2022 14:00 - 23 minutes - 16.4 MBEach year industry regulators produce what are generally known as Exam Priorities. In this podcast Oyster Consulting's Governance, Risk and Compliance experts Ed Wegener, Sarah Sutton, Evan Rosser and Jeffrey Hiller talk about them - where they come from, how they’re used by the regulators and how you can use them to assess your compliance program. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advanta...
Starting Your RIA - Choosing Your Tech Stack
January 27, 2022 14:00 - 29 minutes - 20 MBTechnology platforms impact nearly all aspects of your business, so selecting the right technology for your RIA is more than just choosing a custodian. Oyster's experts discuss defining what your firm needs, designing your technology processes around your business processes, and vendor due diligence, as well as other things to 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 ...
Starting Your RIA - The Registration Process
January 20, 2022 17:00 - 34 minutes - 23.7 MBLearn how and when to start your own Investment Advisor Firm. Experts Buddy Doyle, Sarah Sutton and Jay Donlin discuss licensing, what you need, registering with the SEC and choosing a custodian. 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!
Starting Your RIA - Establishing Your Compliance Program
January 12, 2022 18:00 - 23 minutes - 16.4 MBThis podcast focuses on establishing your compliance program, part of our series on Starting Your RIA. Our experts discusses the regulatory aspect of starting an RIA. There are some basic things you need to do to get started, as well as regulatory perspectives you 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 industry insights or subscribe to our monthly newsletter. ...
You've Decided to Register Your IA - Now What?
January 05, 2022 18:00 - 21 minutes - 14.8 MBStarting your own IA is exciting, but some of the steps to get there can be challenging. In this Oyster Stew podcast, our experts discuss what motivates people to start their own RIA, what’s involved from a high-level view, and some things we’ve seen that work and don’t work. 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...
You've Decided to Register Your IA - Now What?
January 05, 2022 18:00 - 21 minutes - 14.8 MBStarting your own IA is exciting, but some of the steps to get there can be challenging. In this Oyster Stew podcast, our experts discuss what motivates people to start their own RIA, what’s involved from a high-level view, and some things we’ve seen that work and don’t work.
6 Reasons a Fractional CFO Makes Sense
October 28, 2021 20:00 - 7 minutes - 5.25 MBExperts Rob Hall and Bob Milburn discuss the role of a Fractional CFO, what qualifications you should look for and when it makes sense to hire one. 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!
Leveraging Clearing Conversion Experts for Success
October 04, 2021 16:00 - 14 minutes - 10.1 MBClearing Conversions are an enormous undertaking. Oyster Consulting's experts Jay Donlin, Jim Roth, Tim Buckler and Pete McAteer share what drives them, what’s involved, and what makes a successful conversion. 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!
Security Tokens - Regulations, Risk Controls Drive Confidence
September 28, 2021 14:00 - 7 minutes - 5.41 MBIn part 5 of our Digital Asset Series we talked about Digital Tokens – what are they, and what are the nuances and differences you need to know? Today, Ed Wegener, Jeff Gearhart and Buddy Doyle weigh in on the future of Security tokens and what issues need to be addressed to keep moving forward. 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 monthl...
Tokenized Securities vs Security Tokens
September 15, 2021 12:00 - 12 minutes - 8.81 MBIn previous episodes of our podcast series Cryptocurrencies and Digital Assets: The Wheels are Turning - Are You Up-to-Date? we’ve talked about cryptocurrencies and Stable coins, which of course are built on blockchain or distributed ledger technology. In this episode, Oyster’s Jeff Gearhart, Ed Wegener and Buddy Doyle discuss the nuances for determining if a digital token, whether it is a tokenized security or a security token, is in fact a security. Oyster Consulting has the expertis...