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June 2017

Attending the NASAA Broker Dealer Examiner Training Program (NBDETP)

June 14
Reilly copy

On June 14, 2017 Oyster Consulting Associate Director Bill Reilly will be attending the NASAA Broker Dealer Examiner Training program in Ft. Lauderdale, FL. 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…

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Attending the SIFMA Compliance & Legal Regional Seminar

June 20
JillBening

Oyster Consulting Associate Director Jill Bening will be attending the SIFMA Compliance & Legal Regional Seminar in St. Louis, MO on June 20, 2017. Jill is an experienced Compliance professional that brings over 15 years of practical compliance application perspective and insight. Jill has worked in the Compliance divisions of both small and large regional and national independent broker-dealers as well as conducted compliance reviews of registered investment advisors and private equity firms. ¬†She has served as the Chief Compliance…

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