Our Financial Services Compliance Clients

Broker-Dealers

Your goals are clear: to pursue acquisitions, recruit top talent, sell services effectively, and ensure regulatory compliance to avoid penalties. Partner with us to mitigate risk, optimize policies and procedures for maximum return.

Why Broker Dealers Choose Oyster:

• Industry Experts: Our team has firsthand experience, having worked at some of the largest broker-dealers in the industry.
• Strategic Compliance Support: Our team of financial industry compliance experts offers strategic guidance. We’ll help you effectively manage resources, foster cross-functional collaboration, and navigate change management seamlessly.
• Tailored Services: Access comprehensive solutions specifically designed to meet the unique needs and challenges of broker-dealers.

Investment Advisors

You want growth for your firm to enhance efficiency, bolster your reputation, and increase client satisfaction. At Oyster Consulting, we understand the intricacies of the industry. We’re committed to providing tailored financial regulatory compliance solutions to support your journey toward success.

Investment Advisors Choose Oyster For:

• Strategic Guidance: Our strategy and compliance consultants will collaborate with you to define your goals and develop actionable strategies, supported by industry intelligence and benchmarks.
• Customized Solutions for RIAs: Benefit from our comprehensive financial regulation and compliance services tailored to meet your unique needs.
• Industry Experience: We’ve successfully grown firms – let us show you how. Our consultants bring the years of expertise you need to navigate financial industry compliance requirements with ease.

Exchanges and ATS

We are here to help with designing and registering your exchange, providing compliance consulting, outsourcing, support and more. Our team uses current industry knowledge to help you craft solutions for your exchange or ATS. We can help you find the best options for your business to succeed.

Law Firms

We are the ideal partner for establishing and operating Investment Advisor or Broker-Dealer entities. Our team offers law firms access to seasoned experts in various fields, ensuring unparalleled support and guidance.

We Support Law Firm Clients Through:

• Expert Consulting Services: Benefit from our team’s extensive expertise and guidance.
• Expert Witness Services: We offer expert witness services covering a wide range of industry issues: vulnerable adult cases, trade execution, suitability requirements, and more. Our experts provide invaluable insights and testimony to support your clients effectively.

Additional Clients

We cater to a wide range of clients, spanning hedge funds, private equity firms, insurance companies, and trust companies. Our team specializes in addressing compliance challenges inherent in the complex landscape of finance. We’ll help you navigate, adhere to, and resolve financial services compliance regulations and related challenges.

How We Support These Financial Industry Clients:

• Tailored Solutions: Our team offers compliance services designed to address the specific needs and challenges you have.
• Regulatory Expertise: With deep expertise in financial compliance regulations, we provide guidance and support to help your business navigate the intricate regulatory landscape effectively.
• Proactive Compliance Management: Stay ahead of evolving regulatory requirements with our proactive compliance management strategies, safeguarding your business against potential risks and penalties.