Oyster Stew - A Broth of Financial Services Commentary and Insights
181 episodes - English - Latest episode: 12 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
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...
Digital Assets - Removing the Intermediary
September 07, 2021 14:00 - 11 minutes - 8.08 MBWe’ve talked about cryptocurrencies and Stable coins, which of course are built on blockchain or distributed ledger technology. That technology means changes are coming on the back end of the industry, including the potential removal of transaction intermediaries. In this episode, Oyster’s Jeff Gearhart and Buddy Doyle continue their conversation, this time around what the removal of transaction intermediaries means, who it impacts and what we are already seeing in the industry. Oys...
Cryptocurrencies and Stablecoins: VHS or Netflix?
August 24, 2021 14:00 - 18 minutes - 12.4 MBAre cryptocurrencies and Stablecoins a currency or a security? Are they the digital gold some people say they are, or will they go the way of VHS and Betamax? Join Oyster Consulting’s Jeff Gearhart and Buddy Doyle as they continue their conversation in our series "Cryptocurrencies and Digital Assets: The Wheels Are Turning - Are You Up To Date?" Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage ...
Cryptocurrencies and Digital Assets: The Wheels are Turning - Are You Up-to-Date? Part 1
July 29, 2021 17:00 - 19 minutes - 13.8 MBWelcome to our new series, Cryptocurrencies and Digital Assets: The Wheels are Turning - Are You Up-to-Date? where we will discuss regulations, the impacts on our markets and the securities industry, why cryptocurrencies are relevant and where they are going, as well as the implications of digital assets in the retail, securities and institutional space. Hosted by Jeff Gearhart, today's episode features Ed Wegener, a former FINRA regulator, discussing what is happening on the regulator...
The Value a Paraplanner Can Add to Your Business
June 21, 2021 18:00 - 14 minutes - 10.3 MBParaplanners can make a financial planner's work life easier and more productive. Join Bill Davis and Matt Thomson, Head of Training at MoneyGuide Pro, as they discuss the challenges financial planners and Advisors face in today’s market, and how having Paraplanners can help resolve some of these issues. 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...
Digital Strategy - Modern Chess for Financial Services Firms
May 11, 2021 13:00 - 18 minutes - 13 MBDigital technology use has accelerated in the last 12 months in many areas, from education to exercise to the financial services industry. So what is digital transformation, and what does it mean for the financial services industry? Who will benefit and how? Join our panelists Dave Altschul, Jeff Wilk, Jim Roth and Pete McAteer as they discuss these topics and more. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on Linked...
The Upside of Independent Third Party Reviews
May 04, 2021 15:00 - 10 minutes - 7.48 MBRegulatory settlement terms could require that the firm obtain the services of an independent third party to review and make recommendations for the firm to adopt and implement. While sometimes viewed with as an extension of the regulator, third party reviews may to your advantage during the settlement and pre-settlement process. Listen to this episode as Oyster Consulting's Patrick M. Dennis and Evan Rosser discuss the upside of third party review requirements. Oyster Consulting has the ...
FINOP FOCUS: 2021 Exam Priorities
April 22, 2021 18:00 - 18 minutes - 12.8 MBDon't be a findings in next year's FINRA Exam Priorities report. Join our FINOP and Finance experts Rob Hall, Clark Tucker and Jeff Harpel as they discuss the repeated and new findings and recommendations in FINRA's 2021 Examination and Risk Monitoring 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. Does your firm nee...
Cybersecurity: Mitigating Vendor and Change Management Risks
April 20, 2021 21:00 - 19 minutes - 13.2 MBCyber criminals have been active and the costs of compliance or, worse, a security breach, continue to rise. Join our experts Tim Buckler, Ed Wegener and Buddy Doyle as they discuss ways your firm can mitigate cyber threats arising from your vendors and when you are changing technology platforms. 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 mont...
Cybersecurity: Tactics for Mitigating Internal and External Threats
April 14, 2021 12:00 - 24 minutes - 16.6 MBCyber criminals have been active and the costs of compliance or, worse, a security breach, continue to rise. Join our experts Tim Buckler, Ed Wegener and Buddy Doyle as they discuss ways your firm can mitigate internal and external cyber threats. 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? Con...
Looking Ahead: Clearing Relationships and Succession Planning
March 26, 2021 13:00 - 11 minutes - 7.89 MBIntroducing brokers must look down the road when considering economics and profitability, whether it is looking at a neglected clearing firm contract, or considering consolidation, succession and other alternatives to fulfill future needs. Join our panelists David Williams, Jay Donlin, Dave Osborne and Jim Roth as they talk about what they are seeing in these areas, how firms are handling the current environment and how they are looking toward the future. Oyster Consulting has the expert...
Are You Maximizing Your Clearing Firm's Capabilities?
March 25, 2021 16:00 - 18 minutes - 12.4 MBCompetition, regulations, technology and reduced margins may be reducing your broker-dealer's bottom line. How do you continue to thrive in this environment? The answer may be right in front of you - your clearing firm. Join our panelists David Williams, Jay Donlin, Dave Osborne and Jim Roth as they talk about how maximizing your clearing firm's capabilities can help your bottom line. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one ro...
Are You Maximizing Your Clearing Firm's Capabilities?
March 25, 2021 16:00 - 18 minutes - 12.4 MBCompetition, regulations, technology and reduced margins may be reducing your broker-dealer's bottom line. How do you continue to thrive in this environment? The answer may be right in front of you - your clearing firm. Join our panelists David Williams, Jay Donlin, Dave Osborne and Jim Roth as they talk about how maximizing your clearing firm's capabilities can help your bottom line.
2021 Exam Priorities: The Importance of a Risk-Based Approach
March 17, 2021 12:00 - 13 minutes - 9.24 MBJoin Oyster CEO Buddy Doyle and consultants Ed Wegener, Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss the importance of viewing the FINRA's 2021 Exam Priorities and your compliance program through a risk-based lens. 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 fir...
Reg BI - FINRA Expects More
March 10, 2021 13:00 - 9 minutes - 6.54 MBFor years FINRA has shared its priorities for the coming year, and 2021 was no exception. This year, FINRA's higher expectations of Reg BI compliance are worth checking into, so you have a successful compliance program and exam. Join Oyster CEO Buddy Doyle and consultants Ed Wegener, Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss how making the most of the new 2021 Exam Priorities information on Reg BI can ensure your compliance program wil...
Reg BI - FINRA's Higher Expectations in 2021
March 09, 2021 13:00 - 9 minutes - 6.54 MBYou’ve done the work to get ready for Reg BI…was it enough? Join Oyster CEO Buddy Doyle and consultants Ed Wegener and Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss regulators' expectations around Reg BI compliance in 2021, and how understanding and using FINRA's new Exam Priorities letter format can help you ensure your compliance program will meet those expectations. Oyster Consulting has the expertise, experience and licensed professio...
Reg BI - FINRA's Higher Expectations in 2021
March 09, 2021 13:00 - 9 minutes - 6.54 MBYou’ve done the work to get ready for Reg BI…was it enough? Join Oyster CEO Buddy Doyle and consultants Ed Wegener and Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss regulators' expectations around Reg BI compliance in 2021, and how understanding and using FINRA's new Exam Priorities letter format can help you ensure your compliance program will meet those expectations.
FINRA 2021 Exam Priorities - Innovations & Regulations
March 02, 2021 14:00 - 13 minutes - 9.39 MBFor years FINRA has shared its priorities for the coming year, and 2021 was no exception. However, this year's new format and FINRA's higher expectations are worth checking into so you have a successful exam. Join Oyster CEO Buddy Doyle and consultants Ed Wegener, Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss how the new format can help you ensure your compliance program will meet regulator expectations. This podcast is the first of sev...
Remote Branch Exams: Expectations, Requirements and Things to Consider
January 11, 2021 19:00 - 18 minutes - 13 MBJoin Oyster Consulting's Buddy Doyle, Jeffrey Hiller, Evan Rosser and Ed Wegener as they provide insight on the current regulatory expectations and requirements around remote inspections, as well as things you should consider when preparing for an exam. Oyster's consultants have been conducting remote testing for clients for years. Jeffrey, Evan and Ed are all former regulators, and have been on both sides of the issue when it comes to remote inspections. Oyster Consulting has the exper...
Regulators - Behind the Scenes: Episode 4
November 10, 2020 19:00 - 11 minutes - 7.9 MBJoin Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes. In each episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on document production and the value of cooperation with regulators, cultivating a culture of compliance and "tone at the top." Oyster Consulting has the expertise, experience and licensed professionals you n...
New Mini-series! Regulators - Behind the Scenes
November 10, 2020 12:00 - 19 minutes - 13.6 MBJoin Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes. In each episode, they share their experiences and perspectives as former regulators with the SEC, FINRA and the State of Florida, as well as experiences working as CCOs and consulting for clients on regulatory exams and issues. Some things you just won't learn from a textbook, such as managing your relationship ...
Regulators - Behind the Scenes: Episode 2
November 10, 2020 12:00 - 15 minutes - 10.9 MBJoin Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes. In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on Document Production and the importance of good communication with examiners. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn ...
Regulators - Behind the Scenes: Episode 3
November 10, 2020 12:00 - 18 minutes - 13 MBJoin Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators - Behind the Scenes. In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on what happens with when regulators find a violation and how they deal with it. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn...
Regulators - Behind the Scenes: Episode 5
November 10, 2020 12:00 - 8 minutes - 5.68 MBJoin Oyster Consulting's former regulators Patrick M. Dennis, Jeffrey Hiller, Bill Reilly, Evan Rosser and Ed Wegener in our new podcast mini-series, Regulators- Behind the Scenes. In this episode, they share their experiences and perspectives as former SEC, FINRA and State regulators on the best ways to manage and even improve your relationship with regulators. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn t...
Regulation Best Interest (Reg BI) - Where Are We Now?
November 03, 2020 13:00 - 14 minutes - 10.1 MBOn October 26, 2020 the SEC hosted a Reg BI/Form CRS roundtable event. Oyster CEO Buddy Doyle and Consultant Evan Rosser took this opportunity to add their input about where regulators are when enforcing Reg BI, and what we are hearing from our clients. Reg BI is an ongoing compliance requirement, and now is the time for firms to take a look at the feedback from the regulator s, their customers and their sales force. Listen to learn what regulators are looking at, what other firms are doin...
Regulation Best Interest (Reg BI) - Where Are We Now?
November 03, 2020 13:00 - 14 minutes - 10.1 MBOn October 26, 2020 the SEC hosted a Reg BI/Form CRS roundtable event. Oyster CEO Buddy Doyle and Consultant Evan Rosser took this opportunity to add their input about where regulators are when enforcing Reg BI, and what we are hearing from our clients. Reg BI is an ongoing compliance requirement, and now is the time for firms to take a look at the feedback from the regulator s, their customers and their sales force. Listen to learn what regulators are looking at, what other firms are doin...
CCO - Behind the Scenes, Episode 5
October 14, 2020 13:00 - 5 minutes - 3.72 MBIn this episode of CCO - Behind the Scenes, Jeffrey Hiller discusses what makes a good CCO, the importance of being a "straight shooter," giving bad news. Listen as Jeffrey shares his real experiences and lessons learned during his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just checking boxes. Oyster Consulting has the expertise, experience and licensed professionals you need, all un...
The Market Access Rule - Digging Deeper
October 12, 2020 13:00 - 11 minutes - 7.87 MBOyster Consulting often works with clients after they've been examined by the regulators, and the Market Access Rule (Rule 15c3-5) is no different. It's in your firm's best interest to take a proactive look at your Market Access program and get it in good order, before the regulators do. In this second of 2 podcasts covering the Market Access Rule, Oyster Consultants Joe Sisti and Evan Rosser discuss some of the finer points of a solid Market Access program, including post-trade surveillance...
CCO - Behind the Scenes Episode 4
October 07, 2020 12:00 - 4 minutes - 3.01 MBIn this episode of CCO - Behind the Scenes, Jeffrey Hiller talks about what "Tone at the Top" means, and why it's important to embed the Compliance Department within the firm. Listen as, during these short discussions, Jeffrey shares his real experiences and lessons learned during his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just checking boxes. Oyster Consulting has the expertise...
The Market Access Rule - Still a Priority for FINRA...and for You
October 01, 2020 12:00 - 9 minutes - 6.63 MBThe Market Access Rule (Rule 15c3-5) remains on FINRA's priority list - they provided guidance on the rule and initiated enforcement actions against firms struggling to adhere to it. Oyster Consulting often works with clients after they've been called to the carpet by the regulators. It's in your firm's best interest to take a proactive look at your Market Access program and get it in good order, before the regulators do. In the first of 2 podcasts covering the Market Access Rule (Rule 15c3-...
CCO - Behind the Scenes Episode 3
September 30, 2020 12:00 - 6 minutes - 4.3 MBJoin Oyster Consulting's Jeffrey Hiller in his new podcast mini-series, CCO - Behind the Scenes, as he shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just checking boxes. Listen and learn in these short discussions as Jeffrey shares his real experiences and lessons learned. In this week's episode Jeffrey discusses personal compliance violations and what you should do. Some things y...
CCO Behind the Scenes - Episode 2
September 23, 2020 12:00 - 8 minutes - 5.86 MBJoin Oyster Consulting's Jeffrey Hiller in his new podcast mini-series, CCO - Behind the Scenes, as he shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just checking boxes. There are office politics to navigate, nuances to dealing with regulators and board members, and of course, ethical issues. Listen and learn in these short discussions as Jeffrey shares his real experiences and les...
New Mini-Series! CCO - Behind the Scenes
September 16, 2020 18:00 - 7 minutes - 5.15 MBJoin Oyster Consulting's Jeffrey Hiller in his new podcast mini-series, CCO - Behind the Scenes, as he shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Jeffrey literally helped write the book on modern regulatory compliance. Being CCO is more than just checking boxes. There are office politics to navigate, nuances to dealing with regulators and board members, and of course, ethical issues. Listen and learn ...
Leadership - Connecting the Dots in Today's Business Environment
August 19, 2020 11:00 - 25 minutes - 17.3 MBOyster industry leaders discuss what firm executives and decision makers should be focusing on in today's volatile and changing business environment. Topics include: improving your bottom line updating and improving your planning services to meet client needs, risk levels and employment challenges managing your cybersecurity and third party vendors in a pandemic world vendor support controls, testing and disclosures Oyster Consulting has the expertise, experience and licensed p...
Preparing for Modern Regulatory Exams
August 05, 2020 11:00 - 19 minutes - 13.7 MBThe pandemic has changed how firms operate, and regulators have had to change their examination practices to accommodate remote offices and staff. In this episode, Oyster Managing Director Ed Wegener, who was a former SVP and Midwest Regional Director of FINRA, shares his insider views on: the changes in the regulator's examination program the kind of the people that are doing examinations what firms should expect when an examiner walks in now Oyster Consulting has the expertise, exper...
Understanding Risk-Based Regulatory Exams
July 29, 2020 11:00 - 24 minutes - 17 MBFor financial services firms registered with regulatory bodies, regulatory exams have instilled the gamut of emotions from annoyance to anxiety, to outright fear. Fortunately, much of this could be mitigated with a better understanding of the exam process, the necessity for robust risk assessments, and by nurturing the firm's relationship with it's regulatory contact. This week's episode features Oyster Managing Director Ed Wegener, formerly a SVP and Midwest Regional Director of FINRA disc...
Retirement Planning Software - Selection & Implementation Considerations
June 16, 2020 21:00 - 9 minutes - 6.61 MBAs advisors build out their financial planning business, they gather a lot of data and over the years, the strategy of the firm can change. That may mean it's a good time to change from a software application that's more cash flow to one that's more goal-oriented, or vice versa. As a follow-up to last week's high-level overview of the software selection process, Bill Davis offers the best approaches for advisors to take when selecting and implementing retirement plan software. Oyster ...
Software Selection - Where Do I Start?
June 11, 2020 12:00 - 16 minutes - 11.2 MBFirms are always looking for ways to improve their bottom line, and updating or upgrading their software is one of them. But where to begin? How do you know if it will work for your firm? What will the implementation look like? What about hidden costs? In this week's episode Polly Cordle, Managing Director of Oyster Solutions Software, offers some tips and tricks on what to look for when you are considering new software.
Software Selection - Where Do I Start?
June 11, 2020 12:00 - 16 minutes - 11.2 MBFirms are always looking for ways to improve their bottom line, and updating or upgrading their software is one of them. But where to begin? How do you know if it will work for your firm? What will the implementation look like? What about hidden costs? In this week's episode Polly Cordle, Managing Director of Oyster Solutions Software, offers some tips and tricks on what to look for when you are considering new software. Oyster Consulting has the expertise, experience and licensed profess...
Resolving Operational Issues Uncovered During Acquisitions and Transformations
May 28, 2020 16:00 - 8 minutes - 6.03 MBTrying to resolve issues and improve operational efficiency by aligning people and technology can lead to unexpected problems and mixed results. Whether your firm leadership wants to evaluate how the firm is running, the firm has recently undergone a merger or acquisition or is experiencing errors, losses or attrition, an Operational Assessment can increase efficiency, save your firm time and even improve your internal and external client and corporate experience. In this episode, Oyster...
Resolving Operational Issues Uncovered During Acquisitions and Transformations
May 28, 2020 16:00 - 8 minutes - 6.03 MBTrying to resolve issues and improve operational efficiency by aligning people and technology can lead to unexpected problems and mixed results. Whether your firm leadership wants to evaluate how the firm is running, the firm has recently undergone a merger or acquisition or is experiencing errors, losses or attrition, an Operational Assessment can increase efficiency, save your firm time and even improve your internal and external client and corporate experience. In this episode, Oyster...
Conducting Remote Supervision in Your Transitioning Workplace
May 20, 2020 17:00 - 21 minutes - 15 MBRegulators expect both offsite and onsite monitoring of offices and employees due to the heightened risk inherent in remote arrangements. The work-at-home orders issued by the States in response to the pandemic have created supervision challenges for firms. While some consider the present state the “new normal,” no one really knows how and when this will all progress. In this week's podcast, Oyster CEO Buddy Doyle, General Counsel Patrick M. Dennis and Managing Directors Polly Cordle and J...
Will There Be A Post-Pandemic Securities Litigation Wave?
May 13, 2020 12:00 - 15 minutes - 10.3 MBWhen markets are volatile, history has shown us that there is often an increase in securities litigation, In this episode, Oyster experts talk about past litigation trends in volatile markets and what they see coming as the pandemic continues to wreak havoc on the national economy and individual investments. You can learn more from our May 13, 2020 blog "Increases Expected in Pandemic-Related Securities Litigation." Oyster Consulting has the expertise, experience and licensed professio...
Will There Be A Post-Pandemic Securities Litigation Wave?
May 13, 2020 12:00 - 15 minutes - 10.3 MBWhen markets are volatile, history has shown us that there is often an increase in securities litigation, In this episode, Oyster's General Counsel Patrick M. Dennis and Director Evan Rosser talk about past litigation trends in volatile markets and what they see coming as the pandemic continues to wreak havoc on the national economy and individual investments. You can learn more from our May 13, 2020 blog "Increases Expected in Pandemic-Related Securities Litigation."
Your Transitioning Workplace - Don't Lose Sight of the Moving Parts
May 06, 2020 17:00 - 19 minutes - 13.3 MBAs firms begin to adjust to the "new normal," which for many means staff and clients working remotely for an indefinite amount of time, it's important to not lose sight of all the moving parts. Compliance is one of those, and now is a good time to look at your program and test it against how your firm is functioning in this new environment. Do your policies and procedures match up with how you are doing things now? In this episode, Oyster experts address several things firms should be review...
SEC Issues Anticipated Exemptive Relief for Consolidated Audit Trail (CAT)
April 29, 2020 19:00 - 12 minutes - 8.48 MBThe Consolidated Audit trail (CAT) is moving forward and the SEC has released new exemptive relief dates for parts 2a (Equity reporting) and 2b (Options reporting). The SEC has also provided exemptive relief for introducing brokers. In this episode, Oyster experts discuss what firms should be doing around certifications, linkages, testing validation and the upcoming options reporting deadlines. Oyster also has a new software application to validate firms' CAT reporting. Learn more about th...
Advisory Planning Services to Help You Serve Your Clients Better
April 20, 2020 20:00 - 11 minutes - 7.6 MBAs more and more people are turning to Investment Advisors and Financial Planners for help managing their money, advisors and planners are looking for ways to better serve their new and existing clients and continue to grow their business. Oyster Director Bill Davis explains how Oyster's new Advisory Planning Services help Advisors and Financial Planners improve their efficiency, assess, select and implement software, and better understand their clients' wants and needs. *Oyster Consult...
Planning Services to Help You Serve Your Clients Better
April 20, 2020 20:00 - 11 minutes - 7.6 MBAs more and more people are turning to Investment Advisors and Financial Planners for help managing their money, advisors and planners are looking for ways to better serve their new and existing clients and continue to grow their business. Oyster Director Bill Davis explains how Oyster's new Advisory Planning Services help Advisors and Financial Planners improve their efficiency, assess, select and implement software, and better understand their clients' wants and needs. *Oyster Consult...
Annual Review Best Practices - Do You Know What to Look For?
April 16, 2020 15:00 - 21 minutes - 14.7 MBIn 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 annua...
Annual Review Best Practices - Do You Know What to Look For?
April 16, 2020 15:00 - 21 minutes - 14.7 MBIn 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 annua...