The NSCP National Conference is an opportunity to learn, to network , to meet and greet colleagues and to see what is new in the industry. Oyster Managing Director Hank Sanchez will be discussing how to draft annual reports for broker-dealers and investment advisors, and Managing Director Chase will be discussing how to make Written Supervisory Procedures practical. Oyster Director Evan Rosser will also be attending.
Stop by our booth to learn more about Oyster and how we can help you start, run, grow and protect your business.
Hank Sanchez brings over 30 years of securities industry experience in the areas of Legal and Compliance to his role as Managing Director at Oyster. Hank has worked with multiple clients varying in size from national to smaller financial firms. His expertise has been engaged to act as contract Chief Compliance Officer, analyze compliance programs, assess product due diligence, develop a Conflicts of Interest program, testify as an expert witness, act as Independent Consultant on regulatory matters, and consult on a wide variety of issues. Immediately prior to joining Oyster, Hank was with LPL Financial Corporation, where he held Compliance leadership roles as Vice President of Surveillance, Sr. Vice President, and CCO of the nation’s largest independent brokerage firm. For more than 10 years, Hank was a regulator with both the SEC and FINRA. While with the SEC, he was assigned to the SEC’s Division of Market Regulation, working in the Office of Trading Practices, and the Office of Inspections, Options Branch. At FINRA, he served as regional counsel in FINRA Regulation’s Enforcement Department. Hank spent several years in private practice concentrating in broker/dealer compliance matters. He is also a FINRA Arbitrator and frequently speaks at securities industry conferences.
Richard Chase is a securities industry professional with over 35 years of experience. Prior to joining Oyster, Richard served as Chief Compliance Officer and General Counsel to a global investment bank. Richard has broad experience with regulatory issues surrounding virtually all aspects of capital markets activities, equities and derivatives. Richard began his career with the United States Securities and Exchange Commission, rising to the level of Associate Director in charge of the options, exchange, over-the-counter, municipal, clearing and transfer agent branches of the SEC Division of Market Regulation.
Evan Rosser is an experienced and respected securities industry professional with 25 years of experience managing complex securities investigations for NASD/FINRA and providing compliance expertise to both broker-dealers and investment advisors. As an Oyster consultant, Evan has served as CCO for both investment advisors and broker-dealers, as well as providing CCO support to several additional firms. Evan has also served as both a SEC-approved and a FINRA-approved independent consultant. Evan’s recent broker-dealer engagements have focused on market issues such 15c3-5 compliance, Reg SHO, and order type behavior. Prior to consulting, Evan supervised FINRA Enforcement’s investigative staff of more than 40 supervisors and examiners, and successfully completed hundreds of investigations alleging numerous FINRA and SEC rule violations including NASDAQ and OTCBB trading violations, excessive equity markups , and NASD/FINRA corporate financing and advertising rule violations.
To learn more about how Oyster can assist your firm, complete our contact form or call us at (804) 965-5400 and one of our Relationship Managers will be happy to help you.