Built To Scale with CRC-Oyster

CRC-Oyster
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Built To Scale with CRC-Oyster is the newly rebranded Oyster Stew podcast following the acquisition of Oyster Consulting by Compliance Risk Concepts. The podcast features candid, thoughtful conversations that explore not only compliance and risk management, but the broader financial services industry. Each episode examines emerging trends, key issues, and current developments shaping the industry and affecting the firms and professionals who operate within it.

  1. CRC-Oyster: New Beginnings

    4D AGO

    CRC-Oyster: New Beginnings

    In the inaugural episode of Built To Scale with CRC-Oyster, host Michael Durette, Managing Principal and Chief Revenue Officer of CRC-Oyster, sits down with Founder and Managing Partner Mitch Avnet and Managing Principal Buddy Doyle. Together, they reflect on the origins of their respective legacy organizations and the strategic acquisition that brought them together under CRC-Oyster. The discussion explores the current regulatory landscape, the priorities and pressures facing clients today, and the opportunities ahead as CRC-Oyster continues to grow and evolve in 2026 and beyond. CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

    31 min
  2. FINRA Continuing Membership Applications: Ownership & Control Changes

    12/19/2025

    FINRA Continuing Membership Applications: Ownership & Control Changes

    CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

    33 min
  3. Account Type Recommendations: Meeting Reg BI and Fiduciary Standards

    11/20/2025

    Account Type Recommendations: Meeting Reg BI and Fiduciary Standards

    In this Oyster Stew episode our experts unpack what regulators expect and how firms can build strong processes around Reg Bi and account type recommendations recommendations. ·       What Makes an Account Recommendation “Best Interest”?  ·       Balancing Cost and Services.  ·       Special Considerations in Practice Transitions.  ·       Avoiding Double Dipping.  ·       Documentation: Showing Your Work.  CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

    16 min
  4. Reg BI and Fiduciary Obligations Part 2: Documentation, Conflicts, and Rollover Recommendations

    09/30/2025

    Reg BI and Fiduciary Obligations Part 2: Documentation, Conflicts, and Rollover Recommendations

    In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance experts Brent Nicks and Len Derus—this time focusing on the most pressing challenges firms face in applying Reg BI and fiduciary duty in practice: documentation, compensation conflicts, and rollover recommendations. What You'll Learn in Part 2 Documentation Expectations: When to document recommendations—and when not to—including product complexity, costs, and client-specific factors.Supervisory Oversight: Why cookie-cutter rationales can create risk and how firms can monitor for consistency across reps.Compensation Conflicts: Practical strategies for mitigating compensation-driven incentives and leveling payouts to reduce bias.Rollover Recommendations under PTE 2020-02: How to document IRA rollovers, justify added costs, and align practices with both Reg BI and fiduciary standards.Technology vs. Forms: The pros and cons of manual versus technology-driven documentation processes—and how to strike the right balance.Training and Monitoring: How tailored training and compliance monitoring help ensure reps are following procedures and avoiding systemic risks. CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

    33 min
  5. Beyond the Rulebook: Practical Insights on Reg BI and Fiduciary Duty

    09/11/2025

    Beyond the Rulebook: Practical Insights on Reg BI and Fiduciary Duty

    While the core principles of Reg BI and investment advisor fiduciary duty remain consistent, regulatory expectations continue to evolve through examinations, enforcement actions, and formal guidance. In Part 1 of this conversation, our experts explore the foundational similarities and differences between Reg BI and fiduciary duty, unpack how regulators are sharpening their focus on documentation, conflicts of interest, and the firm-level processes that shape recommendations. CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

    22 min
  6. Preparing Your Financial Services Firm for AI: Governance, Data, and Compliance

    08/21/2025

    Preparing Your Financial Services Firm for AI: Governance, Data, and Compliance

    Dive deep into the crucial foundation every organization should have in place before successfully integrating AI into its operations. In Part 4 of our special AI Series with Carolyn Welshhans of Morgan Lewis, our expert panel explores:  ·       Key Strategies for Building Effective AI Governance Frameworks ·       AI Policies to Your Firm’s Risk Profile and Systems ·       Overcoming Legacy Technology Challenges in AI Adoption ·       The Critical Role of Data in AI Readiness Listen and learn as our panel provides actionable guidance for conducting comprehensive readiness assessments covering governance structures, strategic alignment, data management, model risk frameworks, and technology infrastructure. CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

    23 min
  7. The Realities of AI Implementation: What Every Firm Needs to Know

    08/07/2025

    The Realities of AI Implementation: What Every Firm Needs to Know

    Powerful AI tools are rapidly transforming financial services, but beneath the promise of efficiency lurks significant risk. For firms eager to harness AI’s power while avoiding costly missteps, strategic planning and sound governance are non-negotiable. In Part 3 of our special Oyster Stew podcast series with Morgan Lewis, our panel of experts uncovers the practical realities facing firms implementing artificial intelligence solutions today: ·       Are your policies and strategies setting you up for success, or a compliance nightmare? ·       What are the legal repercussions when AI systems fail, like placing erroneous orders? ·       How can strong governance, data quality, and human expertise drive successful AI adoption? CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

    20 min
  8. Walking the AI Tightrope: AI Compliance Strategies for Wealth Management Firms

    07/24/2025

    Walking the AI Tightrope: AI Compliance Strategies for Wealth Management Firms

    In this second installment of our special Oyster Stew podcast series, experts Pete McAteer, Dan Garrett and Jeff Gearheart from Oyster Consulting and Carolyn Welshhans from Morgan, Lewis & Bockius LLP dive deep into how firms can navigate regulatory scrutiny while leveraging AI's potential. Whether you’re evaluating new fintech tools, implementing generative AI, or managing governance across platforms, this series offers essential insights from industry veterans with decades of hands-on experience in wealth management, trading, technology, and SEC enforcement. CRC-Oyster: Compliance Risk Concepts / Oyster Consulting

    23 min
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Ratings & Reviews

5
out of 5
9 Ratings

About

Built To Scale with CRC-Oyster is the newly rebranded Oyster Stew podcast following the acquisition of Oyster Consulting by Compliance Risk Concepts. The podcast features candid, thoughtful conversations that explore not only compliance and risk management, but the broader financial services industry. Each episode examines emerging trends, key issues, and current developments shaping the industry and affecting the firms and professionals who operate within it.

Information

  • Creator
    CRC-Oyster
  • Years Active
    2019 - 2026
  • Episodes
    188
  • Rating
    Clean
  • Copyright
    © 2026 © 2026 Built To Scale with CRC-Oyster
  • Show Website
    Built To Scale with CRC-Oyster