Compliance Support

Even the best Registered Investment Advisors (“RIAs”) in the industry can use a little help sometimes. Oyster has assisted all types and sizes of RIAs to build a better compliance program and stay on top of the ever changing regulatory landscape.Screen Shot 2015-02-16 at 3.04.54 PM

Oyster can assist your CCO in:

  • Maintaining the compliance program to stay consistent with regulatory requirements
  • Maintaining Policies and Procedures on a consistent basis, according to business changes and regulatory requirements
  • Amending ADV1 and ADV2 to keep consistent with business changes and regulatory requirements
  • Filing Annual, or other than annual ADV amendments
  • Reviewing advertising and marketing materials for proper disclosures and disclaimers
  • Providing telephone support for routine questions
  • Conducting a monthly meeting with the CCO to review evolving business practices, compliance activities for the month, and upcoming modifications
  • Conducting training on new policies and procedures, regulations, or industry hot topics on at least an annual basis
  • Regulatory examinations to support the production of information and responses
  • DOL Fiduciary Rule Assessments and Compliance

 

The Oyster Difference

We want to be your first call when you have questions or need expert advice and practical solutions. More than just reactive support, Oyster takes a proactive approach to supporting your CCO. Oyster helps your CCO stay ahead of the regulatory curve by making sure your firm is up to date on all proposed and final regulations, filtering through the regulatory noise to find the relevant news and updates.