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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

24:22

How to Successfully Manage Regulatory Remediation

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

2024/01/10

When regulatory remediation is required and your firm is working under consent orders, it is important for financial services firms to have a plan to efficiently execute the process to avoid excess disruption, manage risk and reputational damage, and to navigate the firm's continuing relationship with the regulators. In today’s podcast Oyster’s Tim Buckler and Paul Saroj, SVP of Regulatory Enforcement remediation at Simpluris, talk about the remediation process, from data crunching to mailing

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47:59

Dispute Resolution - Managing Customer Complaints &...

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

2023/11/30

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23:01

SEC Exam Priorities - Broker-Dealer Trade Practices

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

2023/11/16

Each year the SEC publishes its exam priorities for the coming year. Join us for today’s podcast as Oyster Consulting’s Capital Markets experts Jeff Gearhart, Frank Childress and Jose Fernandez share their thoughts on the priorities related to broker-dealer trading practices including:· Rule 15c2-11 · Reg SHO· Reg ATS and filing requirementsOyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take

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24:10

Successful FINRA CAT and CAIS Reporting - Part 2

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

2023/11/02

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31:38

Finding Success with FINRA CAT / CAIS Reporting - Part 1

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

2023/10/19

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17:45

Broker-Dealer Growth - Is Affiliation the Right Option?

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

2023/10/04

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6:06

Bond Dealer's Association Podcast: Listening Sample

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

2023/09/18

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29:08

How to Use FINRA Sweeps To Your Advantage - We Do and...

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

2023/08/31

Regulatory exams and sweeps are enough to keep any CCO up at night. In today’s podcast, Ed Wegener and Len Derus, both former FINRA regulators, walk through what helps inform regulator decisions about what to look for in an exam, how regulators identify areas for a sweep, and how you can use sweep letters to your advantage. 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

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29:26

Registering a Broker-Dealer: The NMA and CMA Process...

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

2023/08/04

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17:29

Broker Dealers - Navigating the Pressure to Sell and...

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

2023/07/13

CEOs of broker-dealers are faced with the continuous pressure to innovate and increase profits. If these aren't happening, there is also pressure to sell. Successful broker dealers know that understanding how to navigate the demand for innovation and growth, or for changing the business model entirely is key for long-term prosperity. In today’s podcast, Pete Bowman, Managing Director of Oyster’s Strategic Planning and Execution team and Dave Williams, Head of Business Development look at the

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18:14

Exploring Business Models for Peak Profitability

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

2023/06/15

Platform technology, regulatory pressure, mergers and acquisitions are all driving financial services firms to re-evaluate their business models. In today’s podcast, Pete Bowman, Managing Director of Oyster’s Strategic Planning and Execution team and Dave Williams, Head of Business Development share their insights on how some firms are positioning themselves for the future. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn

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27:07

The SEC Rules: How Modernizing Rule 605 Impacts Your...

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

2023/06/01

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27:30

Protect Your Vulnerable Customers: Combating Investor...

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

2023/05/18

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

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29:25

DOL PTE 2020-02 - What Comes Next

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

2023/05/04

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23:32

Unpacking DOL PTE 2020-02

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

2023/05/04

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34:13

Are You Ready To Outsource Your CCO?

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

2023/04/20

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17:05

Digital Assets - How We Got Here

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

2023/04/04

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24:51

Digital Assets - The Regulatory Evolution

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

2023/04/04

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14:45

Digital Assets - What Happens Now?

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

2023/04/04

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40:57

Proactive Strategies for Reg BI, Sales & Communications

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

2023/03/23

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185 results

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