97 episodes

We try to take a look at industry news and give you the highlights for Compliance, Operations and Strategy Departments and Associates.

Oyster Stew - A Broth of Financial Services Commentary and Insights Oyster Consulting

    • Business
    • 5.0 • 7 Ratings

We try to take a look at industry news and give you the highlights for Compliance, Operations and Strategy Departments and Associates.

    AML Regulatory Expectations in 2022 Transcript

    AML Regulatory Expectations in 2022 Transcript

    The 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 

    • 22 min
    Why Outsourcing your Annual Testing Makes Sense

    Why Outsourcing your Annual Testing Makes Sense

    Many 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.

    • 28 min
    History Provides Focus for the Future - A History of Equity Markets (Part 2)

    History Provides Focus for the Future - A History of Equity Markets (Part 2)

    Equity 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.  

    • 10 min
    History Provides Focus for the Future - A History of Equity Markets (Part 1)

    History Provides Focus for the Future - A History of Equity Markets (Part 1)

    Equity 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.  

    • 14 min
    Consolidated Audit Trail - Are You Ready for Phase 2e?

    Consolidated Audit Trail - Are You Ready for Phase 2e?

    Compliance 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. 

    • 17 min
    The Great Resignation - What It Means for Compliance

    The Great Resignation - What It Means for Compliance

    One 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.

    • 14 min

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