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March 2018

Attending the SIFMA Compliance & Legal Annual Seminar

March 18 - March 21
JW Marriott Orlando, Grande Lakes, 404 Central Florida Parkway
Orlando, 32837 United States
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Patrick M. Dennis, General Counsel

Oyster Consulting General Counsel Patrick M. Dennis, Managing Director Hank Sanchez and Associate Director Bill Reilly will be attending the SIFMA Compliance & Legal Annual Seminar March 18-21, 2018  in Orlando, Florida.  They will be happy to discuss your firm's compliance, expert witness and strategic management needs. Patrick’s career has included extensive work as an attorney with the Securities and Exchange Commission in both the Division of Corporation Finance and the Division of Enforcement, where he handled a variety of…

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April 2018

Oyster Director Evan Rosser Speaking at FMA 2018 Securities Seminar

April 19
Sheraton Charlotte Hotel Charlotte, NC 28217 United States + Google Map

Oyster Consulting Director Evan Rosser will be speaking about "Fiduciary Standard Rulemaking" at the Financial Markets Association (FMA) 2018 Securities Seminar in Charlotte, NC on April 19, 2018.  The seminar runs from April 18th-20th and focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants, and program discussions and workshops are structured for peer-to-peer learning. Open discussion is encouraged to develop solutions…

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May 2018

Oyster Sponsors the SIFMA Ops & Tech Conference

May 7 - May 10
JW Marriott Phoenix Desert Ridge, 5350 East Marriott Drive
Phoenix, AZ 85054 United States
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Simplicity in a maze

Oyster Consulting will be a sponsor at the SIFMA Ops & Tech Conference May 7-10, 2018 in Phoenix, AZ.  IN addition to having a booth in the exhibition hall, Oyster Directors Pete Bowman and Pete McAteer will be attending the conference. Pete Bowman has extensive executive and management experience advising on Brokerage Platform and Correspondent Clearing Alternatives. He began his career 35 years ago at Wheat, First Securities where he was a member of the “Management Fast Track Program”. Pete…

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Oyster Sponsors Booth at Schwab 2018 Compliance Solutions National Conference

May 9 - May 11
Grand Hyatt, San Antonio, 600 E. Market Street
San Antonio, TX 78205 United States
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Oyster Consulting will be hosting a booth at the Schwab 2018 Compliance Solutions National Conference in San Antonio, TX on May 9-11, 2018. Relationship Managers Molly Bryson and Gena Spitzer will attend the conference and look forward to discussing your firm's compliance needs. Have you been considering whether now is the right time to open a Registered Investment Advisor (“RIA”)? Navigating the complex regulatory requirements, making operational and technology decisions, and developing the financial analysis to know what the future…

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Attending – The 2018 FINRA Annual Conference

May 21 - May 23
Mariott Marquis, Washington, DC, 901 Massachusetts Avenue NW
Washington, DC 20001 United States
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Hank Sanchez, Managing Director, Oyster Consulting

Oyster Consulting Managing Director Hank Sanchez will be attending the 2018 FINRA Annual Conference May 21-23 in Washington, DC. Hank 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…

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