Oyster in the News – Articles
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
Recording: The Countdown Is On – What’s Your DOL Game Plan? May, 2017
Recording: Are You Ready for June 9th and the DOL Fiduciary Rule? April, 2017
Are You Ready for April? Training and Education Around the DOL Fiduciary Rule January 11, 2017
Now What? Next Steps in Preparing for the DOL Fiduciary Rule Change October 26, 2016
Anatomy of a Risk Assessment – Preparing for the DOL Fiduciary Rule Change August 31, 2016