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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

4:18

Bond Dealers Association Podcast: Sample

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

2023/03/14

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36:20

Unmask the Risks: Protect Your Firm Against Financial...

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

2023/02/28

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15:47

5 Things to Know Before Registering with FINRA

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

2023/02/23

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8:50

Do You Really Need a Full-Time CFO?

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

2023/02/02

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17:02

FINRA 's Annual Report Is Out - Here's What You Need...

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

2023/01/26

Each year, financial services industry regulators produce what are generally known as Exam Priorities. In this podcast episode, our Compliance experts review FINRA’s exam priorities - what’s new along with the highlights you should be aware of. This annual report is a helpful tool to identify what FINRA is seeing during their examinations and what areas FINRA will be focusing on in the coming year. Learn how broker-dealers can use this tool to assess their supervisory system and make sure it is

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36:52

The Regulatory Exam Process: How to make it work FOR you

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

2023/01/13

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20:30

Protect Your Trade Desk - Risk, Reputation and...

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

2022/12/08

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12:55

How to Optimize Your Trade Desk

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

2022/11/30

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22:43

Cut to the chase - Get the Best Clearing Firm Options

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

2022/11/17

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25:27

15 Tips to Create an Effective Compliance Calendar

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

2022/11/11

Risk assessments help prioritize your tasks and testing, and of course, the rules dictate what is required to be done to remain compliant. So how do you make sure you are following the rules and protecting your firm? In today’s podcast, Oyster compliance experts, who work a variety of clients and business models, share tips they’ve learned on how to build an effective and efficient compliance calendar. Oyster Consulting has the expertise, experience and licensed professionals you need, all under

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12:55

What Can Happen When You Start Managing Your Clearing...

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

2022/11/10

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29:21

Want to Improve Your Compliance Program? Know What...

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

2022/10/26

Creating a risk assessment lets you know where the risks are and where to focus your compliance efforts. Once you have a risk assessment, knowing which controls to test and how often is the next step to strengthening your compliance program. But how do you know which controls and how often you should test them? In today's podcast, Oyster experts share their expertise on successfully designing tests around risk controls. Oyster Consulting has the expertise, experience and licensed professionals

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26:07

ESG Investment Strategy - Do It Right or Don't Do It

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

2022/10/20

The markets continue to evolve, and so do the products offered to investors. In today’s market ESG investing remains a hot topic for clients, regulators and in the news. Deciding whether or not to offer ESG products requires strategic planning, risk measurement and compliance.In today’s podcast Oyster CEO Buddy Doyle along with consultants Bill Reilly and Jeff Wilk share what they have seen in the industry as firms decide whether to offer these products, and what firms should consider, including new

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26:17

Strategies To Get The Most Out Of Your Risk Assessment

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

2022/10/19

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18:30

We've Been Using Risk Assessments for Years - Here's Why

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

2022/10/13

Regulators have been approaching their exams and regulatory requirements from a risk-based perspective, and use those assessments to evaluate how firms are controlling for the risks they have. In today’s podcast, Part 1 of 2 about using Risk Assessments as a tool in your compliance program, Oyster’s experts share why they use risk assessments and why you should, too. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to

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25:19

2023 Strategic Planning – Attracting Talent and...

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

2022/10/06

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22:05

2023 Strategic Planning – Navigating Industry Challenges

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

2022/09/29

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22:50

Consolidated Audit Trail CAIS Reporting - Time to...

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

2022/09/22

Consolidated Audit Trail reporting has reached a new regulatory stage, with upcoming Customer and Account Information System (CAIS) reporting requirements and interim obligations. Deadlines for achieving compliance with the requirements is December 12, 2022, only three months away. In today’s podcast, Oyster Consulting’s experts share what the CAIS reporting requirements are, issues we are seeing from our own clients as they go down this path, and what firms should be doing to meet the deadlines

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22:55

Best Practices for Modern Regulatory Exams

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

2022/09/15

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14:47

Keys to Successful Modern Regulatory Exams

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

2022/09/08

Compliance professionals often dread regulatory exams, but there are effective ways to handle them. In today’s podcast, hear from Oyster’s experts and former regulators how regulatory exams have become risk-based and data-driven, what is driving exam frequency and what the regulators are looking for. 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

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185 results

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