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PODCAST

Oyster Stew - A Broth of Financial Services Commentary and Insights

Oyster Consulting

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

business investing

All Episodes

36:43

Hidden Costs, Smart Choices: Mastering Your Tech Stack

Oyster Stew - A Broth of Financial Services... ·

2024/10/24

Unlock the secrets of making informed technology decisions with Oyster Consulting’s technology experts Jeff Wilk and Dan Garrett, as they share their expertise in navigating the build vs. buy decision. Discover how understanding the hidden costs of software development can make or break your strategic planning, especially if your firm lacks technical expertise. Jeff and Dan provide insights into:Cost ConsiderationsTeam Dynamics and CultureIntegration and Data StrategyCompliance and SecurityMa...

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24:30

Growth and Compliance: Navigating FINRA Registration...

Oyster Stew - A Broth of Financial Services... ·

2024/10/09

Ever wondered how significant growth could impact your broker-dealer registration requirements? Join us as we unravel the complexities with industry experts Ed Wegner and Lisa Robinson. Lisa leverages her extensive experience as Senior Director of the FINRA Membership Application Program (MAP) group to provide you with essential tips on registering your firm with FINRA and completing a Continuing Member Application. From identifying key triggers like acquisitions and substantial asset t...

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35:24

Scaling Smart: Aligning Growth with Infrastructure

Oyster Stew - A Broth of Financial Services... ·

2024/09/26

Adapting your infrastructure while managing your firm's growth can present unique challenges. Join Oyster’s Ed Wegener, Brent Nicks and Pete McAteer as they share their insights for scaling and sustaining growth. In this podcast you will: · Gain firsthand insights into the complexities of rapid organic and inorganic expansion · Examine the significance of understanding your firm's core strengths and growth goals,...

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25:08

From Legacy Systems to Leading Edge: A conversation...

Oyster Stew - A Broth of Financial Services... ·

2024/09/09

Join us as Oyster’s Jeff Wilk and Envestnet Chief Relationship Officer and Group Head of Wealth Solutions and Asset Management Distribution, Andrew Stavaridis, bring you an insider’s perspective on the industry's technology evolution, from outdated point solutions to cutting-edge platforms that are accessible, modular, and perfectly tailored for mid-sized to smaller firms. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on

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34:45

Insider's Guide to Selecting The Right Custodian For...

Oyster Stew - A Broth of Financial Services... ·

2024/08/22

In this episode of the Oyster Stew podcast, our experts, Dan Garrett and Jay Donlin, take you on a deep dive into the world of custodians. We'll explore everything from full-service solutions that handle your middle office needs to niche players specializing in FinTech and money management. Whether you're a breakaway advisor, a FinTech firm, or an established registered investment advisor (RIA) looking to make a change, this podcast will equip you with the insights you need to make an informe...

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37:34

Starting Your RIA - Registration and Compliance...

Oyster Stew - A Broth of Financial Services... ·

2024/08/07

Embarking on the path to becoming an RIA is an exhilarating time filled with opportunities and challenges, and our experts are here to guide you every step of the way. In this episode, we'll delve into essential aspects of the registration process and compliance requirements. By addressing these critical components, you'll set a solid foundation for your firm's success. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us

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29:20

Starting Your RIA - What You Need To Know Before You Go

Oyster Stew - A Broth of Financial Services... ·

2024/07/24

When starting a Registered Investment Advisor there are fundamental aspects you must understand before taking this step. Oyster's experts Brent Nicks, Nolan Hughes and Dan Garrett provide an overview into things you need to think through and put in place to build a solid foundation for your firm’s success:Establishing Key PositionsNavigating PartnershipsRisk Management and ComplianceOperations Must-HavesChoosing a CustodianStrategic Growth PlanningOyster Consulting has the expertise, experience

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11:33

Industry Update: T+1 and CAT CAIS Reporting

Oyster Stew - A Broth of Financial Services... ·

2024/07/11

May 2024 saw the implementation of two major industry projects: T+1 and go-live compliance for CAT/CAIS reporting. Experts Jeff Gearhart and Ralph Magee provide the latest updates on T+1 from industry meetings and key participants, including Affirmation and fail rates, margin balances, securities lending and his outlook for the future around T+1 Our experts also discuss what industry members and clients are seeing post implementation, what they can expect to see in the future, insights into issues

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26:29

Pros and Cons of Platform Ownership for Investment...

Oyster Stew - A Broth of Financial Services... ·

2024/06/27

If you are a start-up or an established wealth management firm, determining whether you want to manage your own operating platform or outsource it is an important strategic decision. There are many factors to consider, from cost and available resources to integration and client experience. In today’s podcast Oyster experts Dan Garrett and Jay Donlin share their expertise on what goes into establishing and managing your own platform, common pitfalls and using out-of-the-box vendors...

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15:46

How To Launch Your Alternative Trading System (ATS) -...

Oyster Stew - A Broth of Financial Services... ·

2024/06/14

In today’s podcast Oyster experts share their insights into what to think about as you prepare to register an alternative trading system, or ATS. Jeff Gearhart and Lisa Robinson will discuss challenges and misconceptions, and then Lisa will take us through some highlights of the FINRA application process. We finish up with other things to consider once your ATS is up and running. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof...

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24:09

Modernizing FINRA Rule 4210: Impacts to Market Makers...

Oyster Stew - A Broth of Financial Services... ·

2024/05/28

After nearly a decade of delays, FINRA is finally enacting amendments to Rule 4210. The new Covered Agency Transaction requirements became effective May 22nd, 2024. Oyster’s Jeff Gearhart, Jose Fernandez and Stephen Mellert, co-founder of Matrix Application’s margin calculator, share their insights into what the new rule means for market makers, the capital implications, and the importance of automation. Oyster Consulting has the expertise, experience and licensed professionals you need, all

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41:29

FINRA Focus Areas: Communications, Reg BI and Complex...

Oyster Stew - A Broth of Financial Services... ·

2024/05/06

In today’s our experts discuss an area where FINRA spends a lot of resources – Communications and Sales. We’ll look at challenges our clients are facing and best practices when it comes to:· Communications with the Public and Advertising· Reg BI and its focus on the Care Obligation· Complex Products, from variable annuities to private placementsOyster Consulting has the expertise, experience and licensed profe...

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22:28

Broker-Dealer Technology: Tomorrow's Platform...

Oyster Stew - A Broth of Financial Services... ·

2024/05/02

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38:13

AI in Wealth Management - FINRA, Supervisory...

Oyster Stew - A Broth of Financial Services... ·

2024/04/18

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

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37:18

AI in Wealth Management - SEC Actions, Best Interest...

Oyster Stew - A Broth of Financial Services... ·

2024/04/10

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

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26:32

Cyber Risk Management: Insights for CCOs

Oyster Stew - A Broth of Financial Services... ·

2024/03/13

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

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31:15

SEC Rule 15b9-1 Expands FINRA Oversight: Insights...

Oyster Stew - A Broth of Financial Services... ·

2024/02/28

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

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39:29

FINRA AML Expectations - The 2024 Annual Regulatory...

Oyster Stew - A Broth of Financial Services... ·

2024/02/23

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

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23:00

Drivers of Change - The Clearing & Custodian...

Oyster Stew - A Broth of Financial Services... ·

2024/02/01

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

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41:22

Compliance Across The Industry - Lookback to 2023

Oyster Stew - A Broth of Financial Services... ·

2024/01/17

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