Increased SEC Asset Management Supervision Derivatives

Recently, SEC Chair Mary Jo White announced that the Commission plans to increase supervision of asset managers. Oyster Consulting is providing a series of blogs on ways firms can mitigate risks, evaluate their services, and ensure policies and procedures are in place to protect their clients and themselves. Product Risk Assessment: Portfolio Derivatives In addition… READ MORE

Join Oyster Consulting’s Harriet Britt at the San Francisco, CA Compliance Roundtable

The San Francisco California Compliance Roundtable began in 2010 as a small gathering of compliance professionals working together to share ideas and solutions regarding the evolving regulatory requirements. Today, dozens of compliance professionals, lawyers and compliance vendors meet to network and discuss current compliance issues. The Roundtable often features guest speakers, and provides a format… READ MORE

Increased SEC Asset Management Supervision: Portfolio Liquidity

In light of a recent announcement by SEC Chair Mary Jo White that the SEC plans to increase supervision of asset managers, Oyster Consulting will be providing a series of blogs on ways firms can mitigate risks, evaluate their services, and ensure policies and procedures are in place to protect their clients and themselves. Product… READ MORE