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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

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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NASAA Cybersecurity Roundtable

June 23

On June 23, 2017, Oyster CEO Buddy Doyle will be a panelist at the North American Securities Administrators Association (NASAA) Cybersecurity Roundtable in Washington, DC.  The panel discussion, "Scaling the Threat: Cybersecurity Basics on a Budget," will focus on how small- and mid-sized financial firms can have access to resources despite budget constraints. The primary focus of the panel will be state-registered investment advisers, but the discussion also will be relevant to other small-sized financial firms. Buddy Doyle is a passionate…

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August 2017

Oyster Consulting a Panelist for Bloomberg Webinar “An Analysis of the New Financial Market Technologies”

August 3 @ 12:00 pm - 1:30 pm

On August 3, 2017 Oyster Consulting will be a panelist during the Bloomberg webinar, An Analysis of the New Financial Market Technologies.  The webinar will review in detail the new technologies being used in today’s modern financial markets including blockchain, robo-advisers, the Cloud, HFT, AI/machine learning, natural language processing and fraud detection.  It will provide a clear explanation of the function of each technology, its use in the markets and all applicable regulatory requirements.This will include a discussion of: •…

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September 2017

Attending the Albridge Forum

September 14

Oyster Directors Pete Bowman, Pete McAteer and Terry Schafer will be attending the Albridge Forum on September 14, 2017 in Washington, DC.   Pete Bowman has extensive 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 worked in all facets of Brokerage Operations and took on various supervisory and management positions. Ultimately he was appointed Director of…

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