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November 2017

Attending the 2017 FINRA Small Firms Conference

November 8 - November 9
PollyCordle

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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December 2017

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

December 5
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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Oyster Speaks at Schwab Los Angeles Conference: Vulnerable Adult Clients – Protecting Your Clients and Your Firm

December 7

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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