Oyster in the News
SEC 2017 Exam Priorities White Paper February, 2017
The SECS 2017 Priorities: What They Are and What Compliance Professionals Need to Know– NSCP Currents, February, 2017.
FINRA Digital Advice and the Robo-World – “FINRA Digital Advice and the Robo-World,” NSCP Currents, April, 2016.
“New SEC Derivatives Proposal May Cause Collateral Damage” – reprinted with permission from Fund Operations, March, 2016.
The SEC’s ReTIRE Initiative: An Examination Initiative Focused on Products and Services Provided to Retail Investors Saving for Retirement – Bob Tuch – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer, Vol. 9 No. 1, January/February 2016
SEC Could Start Issuing More Exam Fines for Poor Cybersecurity Controls — Buddy Doyle — Intra Links Fund Space, Return to Cybersecurity Update, October 13, 2015
“Compliance Challenges for Dually-Registered Firms” – Bob Tuch – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
“Best Practices for Selecting Governance Risk and Compliance Software” – Shannan Layette, Pete McAteer, Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
“FINRA expected to adopt CARDS despite local industry resistance” – Evan Rosser (quoted) – Investment News article
“Gibbons: Drive to lure asset managers can drum up jobs” – Alison Morrison (quoted) – Royal Gazette, Bermuda
“FINRA Wants You To Identify Your Conflicts of Interest” – Hank Sanchez – NSCP Currents Magazine, November, 2013
“FINRA’s New Consolidated Supervision Rules” – Hank Sanchez – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
“A Practical Guide for Handling Legacy Data” – Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
“Mitigate Negative Effects You May Have from the Cash Incentives of The Whistleblower Provision” – Cathleen Seneca – NSCP Currents
NSE Award – The Journey to Regulatory Success – Dan Labovitz
Teaching Rulemaking in the Line of Fire – Donald L. Horwitz, Esq. – Reprinted with permission from Futures and Derivatives Law Report, Vol. 35, Issue 6
HedgeWeek Global Awards 2014 – Special Publication, HedgeWeek
Webinars & Video Clips
Now What? Next Steps in Preparing for the DOL Fiduciary Rule Change October 26, 2016