Oyster Stew - A Broth of Financial Services Commentary and Insights

By Oyster Consulting

We try to take a look at industry news and give you the highlights for Compliance, Operations and Strategy Departments and Associates.

  1. 1.
    The Upside of Independent Third Party Reviews
    10:50
  2. 2.
    FINOP FOCUS: 2021 Exam Priorities
    18:33
  3. 3.
    Cybersecurity: Mitigating Vendor and Change Management Risks
    19:03
  4. 4.
    Cybersecurity: Tactics for Mitigating Internal and External Threats
    24:06
  5. 5.
    Looking Ahead: Clearing Relationships and Succession Planning
    11:26
  6. 6.
    Are You Maximizing Your Clearing Firm's Capabilities?
    18:01
  7. 7.
    2021 Exam Priorities: The Importance of a Risk-Based Approach
    13:24
  8. 8.
    Reg BI - FINRA Expects More
    9:29
  1. 9.
    Reg BI - FINRA's Higher Expectations in 2021
    9:29
  2. 10.
    FINRA 2021 Exam Priorities - Innovations & Regulations
    13:38
  3. 11.
    Remote Branch Exams: Expectations, Requirements and Things to Consider
    18:53
  4. 12.
    Regulators - Behind the Scenes: Episode 4
    11:27
  5. 13.
    Regulators - Behind the Scenes: Episode 5
    8:13
  6. 14.
    Regulators - Behind the Scenes: Episode 3
    18:55
  7. 15.
    Regulators - Behind the Scenes: Episode 2
    15:47
  8. 16.
    New Mini-series! Regulators - Behind the Scenes
    19:46
  9. 17.
    Regulation Best Interest (Reg BI) - Where Are We Now?
    14:39
  10. 18.
    CCO - Behind the Scenes, Episode 5
    5:22
  11. 19.
    The Market Access Rule - Digging Deeper
    11:25
  12. 20.
    CCO - Behind the Scenes Episode 4
    4:20
  13. 21.
    The Market Access Rule - Still a Priority for FINRA...and for You
    9:35
  14. 22.
    CCO - Behind the Scenes Episode 3
    6:12
  15. 23.
    CCO Behind the Scenes - Episode 2
    8:29
  16. 24.
    New Mini-Series! CCO - Behind the Scenes
    7:27
  17. 25.
    Leadership - Connecting the Dots in Today's Business Environment
    25:12
  18. 26.
    Preparing for Modern Regulatory Exams
    19:58
  19. 27.
    Understanding Risk-Based Regulatory Exams
    24:45
  20. 28.
    Retirement Planning Software - Selection & Implementation Considerations
    9:35
  21. 29.
    Software Selection - Where Do I Start?
    16:18
  22. 30.
    Resolving Operational Issues Uncovered During Acquisitions and Transformations
    8:45
  23. 31.
    Conducting Remote Supervision in Your Transitioning Workplace
    21:52
  24. 32.
    Will There Be A Post-Pandemic Securities Litigation Wave?
    15:00
  25. 33.
    Your Transitioning Workplace - Don't Lose Sight of the Moving Parts
    19:18
  26. 34.
    SEC Issues Anticipated Exemptive Relief for Consolidated Audit Trail (CAT)
    12:18
  27. 35.
    Planning Services to Help You Serve Your Clients Better
    11:01
  28. 36.
    Annual Review Best Practices - Do You Know What to Look For?
    21:24
  29. 37.
    FINOP Exam Priorities and COVID 19 Impacts on FINOP Procedures
    11:14
  30. 38.
    CAT (Consolidated Audit Trail) - What You Should Be Doing
    25:59
  31. 39.
    Risk Assessments - Keeping Your Firm Focused
    23:12
  32. 40.
    Why Outsourcing Your Platform Assessment, Selection & Implementation Processes Makes Sense
    20:37
  33. 41.
    COVID 19 and Your Business Continuity Plan
    11:27
  34. 42.
    Clearing Platform Selection and Implementation
    23:53
  35. 43.
    Should You Be Assessing Your Clearing Platform?
    14:10
  36. 44.
    2020 SEC & FINRA Exam Priorities, Part 3
    16:20
  37. 45.
    2020 Exam Priorities Letters - Takeaways, Part 2
    10:08
  38. 46.
    2020 Exam Priorities Letters - Part 1
    15:52
  39. 47.
    Reg BI - What's Required in Form CRS
    20:21
  40. 48.
    The NIST Privacy Framework - What It Is and What Your Firm Should Be Doing
    8:56
  41. 49.
    Making Your Compliance Calendar and Annual Review More Efficient and Effective
    17:39
  42. 50.
    When Does Outsourcing Your CCO Role Make Sense?
    24:42

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