31 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

    • Investing
    • 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.

    Conducting Remote Supervision in Your Transitioning Workplace

    Conducting Remote Supervision in Your Transitioning Workplace

    In this week's podcast, Oyster CEO Buddy Doyle, General Counsel Patrick M. Dennis and Managing Directors Polly Cordle and Jeffrey Hiller discuss remote supervision, and what that means in the current pandemic workplace, as well as some general best practices firms should consider.

    • 21 min
    Will There Be A Post-Pandemic Securities Litigation Wave?

    Will There Be A Post-Pandemic Securities Litigation Wave?

    Oyster's General Counsel Patrick M. Dennis and Director Evan Rosser talk about past litigation trends in volatile markets and what they see coming as the pandemic continues to wreak havoc on the national economy and individual investments.

    • 15 min
    Your Transitioning Workplace - Don't Lose Sight of the Moving Parts

    Your Transitioning Workplace - Don't Lose Sight of the Moving Parts

    Oyster CEO Buddy Doyle, Managing Director Polly Cordle and Relationship Managers Molly Bryson and Gena Spitzer address several things firms should be reviewing during the "new normal," including email surveillance, marketing and advertising, policies and procedures, your compliance calendar and how you will test these things remotely.

    • 19 min
    SEC Issues Anticipated Exemptive Relief for Consolidated Audit Trail (CAT)

    SEC Issues Anticipated Exemptive Relief for Consolidated Audit Trail (CAT)

    Oyster Consultants Ralph Magee and Jeff Call discuss what firms should be doing to prepare for the new Consolidated Audit trail (CAT)deadlines around certifications, linkages, testing validation and the upcoming options reporting deadlines.

    • 12 min
    Planning Services to Help You Serve Your Clients Better

    Planning Services to Help You Serve Your Clients Better

    Oyster Director Bill Davis explains how Oyster's new Advisory Planning Services help advisors and wealth management specialists improve their efficiency, assess, select and implement software, and better understand their clients' wants and needs.

    • 11 min
    Annual Review Best Practices - Do You Know What to Look For?

    Annual Review Best Practices - Do You Know What to Look For?

    In this episode Oyster CEO Buddy Doyle and Managing Director Polly Cordle discuss best practices for testing your compliance program, including reviewing your compliance calendar and maximizing the use of your time and resources, new products, system implementations and what's different in today's environment.

    • 21 min

Customer Reviews

5.0 out of 5
7 Ratings

7 Ratings

Top Podcasts In Investing