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
FINOP Exam Priorities and COVID 19 Impacts on FINOP Procedures
April 08, 2020 21:00 - 11 minutes - 7.74 MBOyster Consulting CFO Robert Hall and Consultants Jeff Harpel and Clark Tucker discuss FINRA's Exam Priorities from a FINOP perspective, and what the impacts COVID 19 could have on FINOP procedures and Business Continuity Plans. For more information about how Oyster can help your firm with FINOP support or Business Continuity Planning, complete this form and one of our Relationship Mangers will contact you. Oyster Consulting has the expertise, experience and licensed professionals you nee...
CAT (Consolidated Audit Trail) - What You Should Be Doing
April 02, 2020 12:00 - 25 minutes - 17.9 MBIn this episode, Oyster Consultant Ralph Magee and Devyze CEO Jeff Call discuss what the Consolidated Audit Trail (CAT) is and its purpose, what is happening in the industry from a reporting standpoint, where we are with the CAT today and what firms should be doing. Oyster can help you assess how your firm is positioned for CAT readiness, manage your requirements assessment and implementation phases, interface with your own technology providers, and assist you in determining what and how...
Risk Assessments - Keeping Your Firm Focused
March 25, 2020 12:00 - 23 minutes - 16 MBThis week's episode features Oyster CEO Buddy Doyle and Polly Cordle, Managing Director of Oyster Solutions Software, discussing the importance of risk assessments, especially in today's volatile financial situation. Included are best practices for creating and maintaining risk assessments, regulatory reporting around risk, and how Oyster Solutions Software makes maintaining and reporting risk assessments easy. Oyster Consulting has the expertise, experience and licensed professionals yo...
Why Outsourcing Your Platform Assessment, Selection & Implementation Processes Makes Sense
March 18, 2020 12:00 - 20 minutes - 14.2 MBTransitioning your platform can be a vital component of making sure your firm is successful for many years to come. Managing your firm’s platform transition is a significant undertaking that will impact most areas of your business. Investing in a third party to make sure the disruptions are minimized while the planning, execution, testing and change management are being done concurrently can be a good strategy to free up firm resources. In this podcast episode, Managing Director Pete McAtee...
COVID 19 and Your Business Continuity Plan
March 12, 2020 18:00 - 11 minutes - 7.89 MBIn light of the evolving progression of the COVID-19 virus, today's podcast discusses what firms should be considering when it comes to their Business Continuity Plan. Are you ready to provide the critical services to your clients if you must close your business during a quarantine? What if 20% of your employees can telecommute, but are sick? There are no boiler plate approaches to business continuity planning that will work like one designed for your business. So, spend some time soon...
Clearing Platform Selection and Implementation
March 04, 2020 12:00 - 23 minutes - 16.4 MBThe analysis to decide if it’s best to invest in your current platform or consider a different path should not be ignored or pushed too far into the future. One of the most meaningful relationships any introducing broker-dealer has is with its clearing provider. In this week's episode, Managing Director Pete McAteer discusses what you should do after you've identified any gaps in your clearing platform needs, including a discussion of the selection and implementation processes. Oyster Cons...
Should You Be Assessing Your Clearing Platform?
February 27, 2020 16:00 - 14 minutes - 9.76 MBAre you getting the most out of your clearing partner? Are your costs where they should be? Are you looking to improve your service, technology and financial position? One of the most meaningful relationships any introducing broker-dealer has is with its clearing provider. In this week's episode, Managing Director Pete McAteer discusses when and why you should be evaluating your clearing platform, and things to consider. Oyster Consulting has the expertise, experience and licensed prof...
Should You Be Assessing Your Clearing Platform?
February 27, 2020 16:00 - 14 minutes - 9.76 MBAre you getting the most out of your clearing partner? Are your costs where they should be? Are you looking to improve your service, technology and financial position? One of the most meaningful relationships any introducing broker-dealer has is with its clearing provider. In this week's episode, Managing Director Pete McAteer discusses when and why you should be evaluating your clearing platform, and things to consider.
2020 SEC & FINRA Exam Priorities, Part 3
February 19, 2020 12:00 - 16 minutes - 11.2 MBIn case you're wondering what the regulators will be focusing on this year, they are kind enough to let you know when they publish their annual Exam Priorities Letters. This episode is Part 3 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters. Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Senior Consultant Joe Turner talk about what's new, particularly around Technology, Cybersecurity, Business Continuity Plans and Cash Management / Bank Sweeps. Oyster Co...
2020 Exam Priorities Letters - Takeaways, Part 2
February 12, 2020 12:00 - 10 minutes - 6.99 MBIn case you're wondering what the regulators will be focusing on this year, they are kind enough to let you know when they publish their annual Exam Priorities Letters. This episode is Part 2 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters. Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Senior Consultant Joe Turner talk about Market Access and Best Execution requirements. Future exam priorities podcast topics will include: Technology and Cybersecurity ...
2020 Exam Priorities Letters - Takeaways, Part 2
February 12, 2020 12:00 - 10 minutes - 6.99 MBIn case you're wondering what the regulators will be focusing on this year, they are kind enough to let you know when they publish their annual Exam Priorities Letters. This episode is Part 2 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters. Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Senior Consultant Joe Turner talk about Market Access and Best Execution requirements. Future exam priorities podcast topics will include: Technology and Cybersecurity ...
2020 Exam Priorities Letters - Part 1
February 05, 2020 19:00 - 15 minutes - 10.9 MBIn case you're wondering what the regulators will be focusing on this year, they are kind enough to let you know when they publish their annual Exam Priorities Letters. This episode is Part 1 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters. Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Senior Consultant Joe Turner talk about what's new, particularly around Reg BI and Form CRS requirements. Future exam priorities podcast topics will include: Market Inte...
2020 Exam Priorities Letters - Part 1
February 05, 2020 19:00 - 15 minutes - 10.9 MBIn case you're wondering what the regulators will be focusing on this year, they are kind enough to let you know when they publish their annual Exam Priorities Letters. This episode is Part 1 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters. Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Senior Consultant Joe Turner talk about what's new, particularly around Reg BI and Form CRS requirements. Future exam priorities podcast topics will include: Market Inte...
Reg BI - What's Required in Form CRS
January 29, 2020 19:00 - 20 minutes - 14 MBAs you complete your Form ADV, completing the Regulation Best Interest (Reg BI) Form CRS should also be on your list of things to do. In this week's episode, Oyster experts discuss what's required and how Oyster Solutions is helping our clients make the task of completing Form CRS easier. 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 ne...
The NIST Privacy Framework - What It Is and What Your Firm Should Be Doing
January 22, 2020 20:00 - 8 minutes - 6.17 MBNIST published in January 2020 its Privacy Framework, "a voluntary tool developed in collaboration with stakeholders intended to help organizations identify and manage privacy risk to build innovative products and services while protecting individuals’ privacy." In this podcast episode, Oyster Consultant Tim Buckler explains what the Privacy Framework is, why you should implement it, and what is involved. Oyster Consulting has the expertise, experience and licensed professionals you need,...
Making Your Compliance Calendar and Annual Review More Efficient and Effective
January 14, 2020 18:00 - 17 minutes - 12.1 MBIn this episode, Oyster experts share how Oyster Solutions Software can make your Annual Compliance Calendar and Review processes easier and more efficient using workflows and automated reporting. Oyster Solutions is one "solution" for many systems: A system to track various workflows and processes across multiple departments. Advertising submission tracking including teaching your employees how to submit “compliant” pieces A system that produces metrics and reporting dashboards for ma...
Oyster Solutions Software - Making Managing Your Compliance Calendar and Annual Review More Efficient and Effective
January 14, 2020 18:00 - 17 minutes - 12.1 MBIn this episode, Managing Director Polly Cordle and Consultant Gray Houghton share how Oyster Solutions Software can make your Annual Compliance Calendar and Review processes easier and more efficient using workflows and automated reporting. Oyster Solutions is one "solution" for many systems: A system to track various workflows and processes across multiple departments. Advertising submission tracking including teaching your employees how to submit “compliant” pieces A system that pro...
When Does Outsourcing Your CCO Role Make Sense?
January 08, 2020 18:00 - 24 minutes - 17 MBDeciding whether or not to outsource the Chief Compliance Officer role is an important decision. In this episode, our hosts discuss things you should consider when making this decision, including resource availability, experience, and interaction with regulators. 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 n...
When Does Outsourcing Your CCO Role Make Sense?
January 08, 2020 18:00 - 24 minutes - 17 MBDeciding whether or not to outsource the Chief Compliance Officer role is an important decision. In this episode, our hosts discuss things you should consider when making this decision, including resource availability, experience, and interaction with regulators.
'Twas the Night Before the Exam
December 18, 2019 12:00 - 2 minutes - 1.71 MBEnjoy our holiday take on the popular 'Twas the Night Before Christmas poem as our fictional CCO realizes the benefits of hiring Oyster Consulting to assist with his regulatory exam. Happy Holidays from Oyster Consulting! 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!
Should You Outsource Your FinOP Position?
December 11, 2019 12:00 - 18 minutes - 12.7 MBIf you are having trouble keeping up with your FinOP reporting, worried about making mistakes, or are a newly-licensed FinOP but need more experience, outsourcing the job, even temporarily, may be the answer. This week Oyster Founder and CFO Rob Hall and FinOP Consultants Jeff Harpel and Clark Tucker talk about what an outsourced FinOP can do for your firm and common mistakes FinOPs make. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one ...
Effective Expert Witnesses
December 04, 2019 12:00 - 16 minutes - 11.7 MBOyster Consulting General Counsel Patrick M. Dennis and Independent Consultant Andy Favret discuss what makes an effective Expert Witness, as well as the typical industry cases they have participated in as an expert witness. 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!
Advertising Rules - Enforcement Actions and the Impact of Reg BI
November 20, 2019 12:00 - 14 minutes - 9.72 MBIn this episode, Part 2 of 2, Oyster Associate Director Bill Reilly and Senior Consultant Michelle Craft discuss relevant SEC enforcement actions around Advertising, and the impact Reg BI will have on Advertising policies and procedures, especially the use of titles. 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...
"Mad Men" Era Advertising Rule Changes Proposed
November 15, 2019 20:00 - 24 minutes - 16.9 MBThe SEC Advertising Rule hasn’t been amended since 1961 – a time before widespread use of desktop computers, cell phones, social media or even websites. In this episode, Part 1 of 2, Oyster Associate Director Bill Reilly and Senior Consultant Michelle Craft discuss the proposed changes in detail and what firms should be thinking about when assessing their advertising materials. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow ...
Mad Men Area Advertising Rule Changes Proposed
November 15, 2019 20:00 - 24 minutes - 16.9 MBThe SEC Advertising Rule hasn’t been amended since 1961 – a time before widespread use of desktop computers, cell phones, social media or even websites. In this episode, Part 1 of 2, Oyster Associate Director Bill Reilly and Senior Consultant Michelle Craft discuss the proposed changes in detail and what firms should be thinking about when assessing their advertising materials.
Reg BI - The Compliance Obligation
November 06, 2019 17:00 - 24 minutes - 16.5 MBIn this episode, Oyster CEO Buddy Doyle, General Counsel Patrick M. Dennis and Managing Director Polly Cordle discuss the Reg BI Compliance Obligation and the core things firms should focus on to fulfill that obligation, including: Products Advertising & Marketing Training 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 ...
Reg BI - The Disclosure Obligation
October 30, 2019 14:00 - 16 minutes - 11.1 MBIn this episode, Oyster experts discusses the Regulation Best Interest Disclosure Obligation - what it means for broker-dealers, advisors and dual registrants. Topics include disclosure and conflict examples, as well as Form CRS 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 help now? Contact...
Reg BI - The Care Obligation
October 23, 2019 12:00 - 20 minutes - 14.1 MBIn this episode, Oyster Consultants Bob Tuch and Joe Sisti, along with Oyster's General Counsel Patrick M. Dennis, discuss the Regulation Best Interest (Reg BI) Care Obligation. Bob and Joe touch on factors to consider when making recommendations, "Reasonable Available Alternatives," account selection and rollover recommendations. 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...
Reg BI - Conflicts of Interest Obligation
October 16, 2019 14:00 - 27 minutes - 18.8 MBIn this episode, Oyster CEO Buddy Doyle, and Consultants Bob Tuch and Bill Reilly discuss the Regulation Best Interest (Reg BI) Conflicts of Interest Obligation, including: Identifying and assessing conflicts Disclosure, mitigation, elimination and monitoring New product review around conflicts Escalating conflicts Conflict surveillance Disclosure reviews Training Reg BI requirements touch on many, many aspects of Broker-Dealer and RIA businesses. Oyster can help your firm naviga...
Reg BI - It's A Bigger Deal Than You Might Think
October 09, 2019 17:00 - 20 minutes - 14 MB(Recorded October 3, 2019) Reg BI is a bigger deal than you might think, and the implementation deadline is only 9 months away. This episode presents an overview of the four Obligations of Reg BI and what firms need to be doing. Reg BI will affect many, many aspects of a firm's policies and operations, from marketing and advertising to compensation, recommendations and communications, to name a few. In this episode our experts provide an update on what regulators and industry members are s...
Reg BI - Now in Play
June 10, 2019 21:00 - 11 minutes - 7.69 MBIn this episode, Oyster's experts discuss Reg BI, including who will be affected and what firms can be doing now 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 insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!