The investing population has grown and so has their wealth. This is good for their finances, but also creates more opportunities for fraud and abuse.  Bob Mooney, General Counsel of Oyster Consulting, and Ron Long, Principal of Long Life Consulting, walk through the issues around protecting elder and vulnerable investors against fraud and abuse, and what financial services firms are doing to combat it. 

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.

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In February, a US District Court judge challenged the DOL’s FAQs around the fiduciary investment advice definition to rollover recommendations. In today's episode, Part 2 of 2 discussing DOL PTE 2020-02, experts Fred Reish, David Porteous and Joan Neri from the law firm of Faegre Drinker Biddle & Reath join Oyster's Ed Wegener  will be discussing this case and other legal challenges, and the impacts these will have, if any. 

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.

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In today’s podcast, DOL PTE 2020-02 experts Fred Reish, David Porteous and Joan Neri from the law firm of Faegre Drinker Biddle & Reath will be discussing the current state of the industry’s implementation, how different firms are approaching the requirements, self-correction, and what they see as the DOL’s approach. 

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!

In today’s episode of Oyster Stew, our seasoned outsourced CCOs walk you through things to consider when deciding to outsource your CCO role, from the expertise and expanded resources an outsourced CCO brings, to common mistakes inexperienced CCOs make and concerns firms may have around outsourcing such an important role.    

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!

In part 3 of our Digital Assets mini-series, Steve Gannon and Ed Wegener continue their discussion on the crypto landscape, the regulatory fallout around the determination of what constitutes a security, and the SEC’s actions. 

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!

In part 2 of or Digital Assets mini-series, Steve Gannon and Ed Wegener continue their discussion of the Regulatory actions that are occurring around digital assets, including cases that the SEC is bringing, and where they see these cases going.

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!

The landscape for digital assets, cryptocurrencies and blockchain projects has become extremely complex. Regulators, developers and exchanges are struggling to provide clarity and guardrails without limiting innovation and profitability. 
Today, Ed Wegener and Steve Gannon, a partner at the law firm of Davis Wright Tremaine, walk through the evolution of the crypto asset class, including some of the common types of digital assets and digital asset projects.  

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!

As part of our podcast series talking about FINRA’s 2023 Exam Priorities, today our experts share best practices and what we are hearing from our clients and the industry at large on Reg BI, Sales and Communications.    

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.

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Oyster's Capital Markets experts were recently featured on the Bond Dealer Association's podcast, "Bonding Time," discussing issues affecting the US fixed income markets.  Topics include SEC Rule 15c-211, TRACE and MSRB reporting, the FINRA Margin Rule (42-10), Best Execution, T+1 and Clearing Options. 

Enjoy a short sample of the original podcast.  You can listen to the entire podcast here. 

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!

Many leaders at broker-dealers have a strong belief that there is no money laundering occurring within their firm. Unfortunately, belief alone isn’t enough to satisfy the requirements and expectations of regulators. As part of our podcast series talking about FINRA’s 2023 Exam Priorities, today our experts dive into the Financial Crimes portion of the report around AML and manipulative trading.    

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!