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September 2017

NASAA Annual Conference

September 24 - September 26
Reilly copy

Oyster Consulting Associate Director Bill Reilly will be attending the NASAA  Annual Conference in Seattle, WA September 26-28, 2017. Bill assists industry firms with developing Written Supervisory Procedures (WSPs) for broker-dealers and Policies and Procedures (P&Ps) for investment advisers, as well as providing in-house firm training for dealing with vulnerable adults and senior clients. Included in these WSPs and P&Ps are procedures for complying with state regulations for addressing client disbursement holds when financial exploitation of the client is suspected.…

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Oyster Speaks at Schwab NYC Conference: Vulnerable Adult Clients – Protecting Your Clients and Your Firm

September 26
Convene, 927 Park Avenue
New York, NY 10017 United States
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Senior Hispanic Man Sitting On Bed Suffering With Depression

Confused about the new FINRA rule requirements around senior and vulnerable adult exploitation?   Not sure what you should be doing to protect your firm and your clients? Oyster Consulting will be discussing how firms can protect their senior clients and themselves at Charles Schwab's conference series in New York, Dallas, San Francisco and Los Angeles. Developing policies, procedures, and training unique to your firm is time consuming, requires a deep knowledge of the subject and regulatory environment, and can have…

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October 2017

Oyster Attends UMB Fund Market Insight Client Conference

October 9 - October 11

Oyster Consulting Director Dean Pelos will be attending the UMB Fund Market Insight Client Conference in Dana Point, CA On October 9-11, 2017. With over 30 years of experience as a financial services professional, Dean has extensive experience helping firms maintain regulatory compliance, grow sales, and control costs. Dean has a strong background in compliance for investment advisers and broker-dealers and additional experience specializing in regulatory compliance for investment companies. He also works with both broker-dealers and investment advisers providing…

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Oyster Sponsors, Speaks at NSCP National Conference

October 16 - October 18
Omni Shoreham Hotel, Washington, DC, United States + Google Map
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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…

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November 2017

Attending the 2017 FINRA Small Firms Conference

November 8 - November 9

Oyster Associate Director Polly Cordle will be attending the 2017 FINRA Small Firms Conference in Santa Monica, CA on November 8-9, 2017. With a wide variety of experience including Compliance Supervisor, Brokerage Operations, Training and Branch Operations, Polly is a versatile asset to Oyster’s clients. Polly develops and provides custom compliance training, regulatory and communication, and rule implementation services. She also provides expertise and support for various projects due to an intimate knowledge of the many facets of the brokerage…

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