152 episodes

Our financial services industry insights come from on-the-ground experience, successfully navigating complex  challenges and business. Our insights are your opportunities.

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

    • Business
    • 5.0 • 9 Ratings

Our financial services industry insights come from on-the-ground experience, successfully navigating complex  challenges and business. Our insights are your opportunities.

    AI in Wealth Management - FINRA, Supervisory Obligations and Protecting Clients

    AI in Wealth Management - FINRA, Supervisory Obligations and Protecting Clients

    Oyster Consulting experts Casey Dougherty, Dan Garrett and Bryan Jacobsen discuss FINRA’s exploration of AI, supervisory obligations  with regard to outsourcing AI technology to firms, and best practices for maintaining compliance and protecting clients. 

    Learn more in our previous podcast, part 1 of the series, as our experts share their  insights on AI's impacts on Regulation Best Interest and recordkeeping, with a special focus on how the SEC’s actions around AI will affect compliance teams in the wealth management industry. 

    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!

    • 38 min
    AI in Wealth Management - SEC Actions, Best Interest Rules and Recordkeeping

    AI in Wealth Management - SEC Actions, Best Interest Rules and Recordkeeping

    The wealth management industry is shifting towards more data-driven, personalized and secure services.  In this week’s Oyster Stew podcast, Oyster experts  discuss the industry’s relationship with AI today, the role of Artificial Intelligence in Best Interest rules and recordkeeping, and the impacts of the SEC’s AI initiative. Get Oyster's insights into what SEC sweeps and investigations mean for Compliance teams, and what firms should be doing to mitigate the risks that come with adopting AI 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 insights or subscribe to our monthly newsletter.

    Does your firm need help now? Contact us today!

    • 37 min
    Cyber Risk Management: Insights for CCOs

    Cyber Risk Management: Insights for CCOs

     In today's episode of the Oyster Stew podcast, Oyster experts Len Derus and Tim Buckler delve into a crucial topic: Regulatory expectations and observations regarding cyber risk management. Learn more about the responsibilities of Chief Compliance Officers (CCOs) and what the regulatory focus on cybersecurity means for compliance programs.   Join us as we examine the key insights from FINRA's  annual report, new SEC rules, and the implications for wealth management firms.

    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!

    • 26 min
    SEC Rule 15b9-1 Expands FINRA Oversight: Insights into FINRA Membership Requirements

    SEC Rule 15b9-1 Expands FINRA Oversight: Insights into FINRA Membership Requirements

    Our experts and special guest Susan Light,  Partner and Co-chair of Broker Dealer Regulation at Katten Muchin Rosenman LLP, explore the new SEC rules expanding the number of firms required to register with a self-regulatory organization.  They share their experience and insights into the rule changes, including what it means for the firms who must comply, the FINRA registration application process, challenges non-broker dealer entities may experience adapting to FINRA membership, and how FINRA has historically handled rule changes involving new membership. 




    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!

    • 31 min
    FINRA AML Expectations - The 2024 Annual Regulatory Oversight Report

    FINRA AML Expectations - The 2024 Annual Regulatory Oversight Report

     Oyster's seasoned professionals will share their experience, providing invaluable insights into FINRA's AML priorities. From customer due diligence to transaction monitoring, they'll guide you through the key considerations identified by FINRA, empowering you to elevate your AML framework. 

    They also explore the findings unearthed in FINRA's examinations. Our experts will discuss prevalent issues discovered, offering tangible solutions to address them head-on. Whether it's enhancing customer risk assessments or optimizing Suspicious Activity Reporting (SAR) processes, you'll gain actionable strategies to bolster your AML program. Our industry practitioners will draw from their own experiences, providing real-world examples of how these practices can transform compliance efforts. 

    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!

    • 39 min
    Drivers of Change - The Clearing & Custodian Transformation

    Drivers of Change - The Clearing & Custodian Transformation

     In this week's Oyster Stew Podcast, our Strategic Planning and Execution experts, Pete Bowman, Pete McAteer, Jay Donlin, Jeff Wilk, and Jeff Gearhart share their perspectives on the four critical areas that are transforming the clearing and custodian industry: 


    Technology advances and accessibility are reshaping how firms look at clearing and custodian services. Economics, from interest rates to market fluctuations, emerge as a significant player. Client Engagement: Firms must determine how best to foster meaningful, compliant and efficient connections in a digital world.Managing risk and compliance always requires industry firms to assess their practices and review their platforms, and vendor management practices. 
    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!

    • 23 min

Customer Reviews

5.0 out of 5
9 Ratings

9 Ratings

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