We try to take a look at industry news and give you the highlights for Compliance, Operations and Strategy Departments and Associates.
The Upside of Independent Third Party Reviews
Regulatory 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.
FINOP FOCUS: 2021 Exam Priorities
Don'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.
Cybersecurity: Mitigating Vendor and Change Management Risks
Cyber 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.
Cybersecurity: Tactics for Mitigating Internal and External Threats
Cyber 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.
Looking Ahead: Clearing Relationships and Succession Planning
Introducing 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.
Are You Maximizing Your Clearing Firm's Capabilities?
Competition, 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.