Compliance Program Reviews for Broker-Dealers and RIAs

Assessing Your Compliance Programs

Identify and mitigate risk areas within your compliance programs through a comprehensive review of your written policies and procedures. Oyster Consulting facilitates collaborative discussions with your C-Suite peers to ensure alignment with relevant laws, regulations, and regulatory authority standards.

Our approach prioritizes the development of an effective compliance program to address both internal and external requirements. We promote long-term value for your firm without causing disruption.

Program Auditing and Monitoring

Even the strongest compliance programs can encounter challenges, necessitating ongoing auditing and monitoring. Oyster’s compliance professionals offer supplementary support to ensure continuous compliance with laws, regulations, and internal controls. Through Email Reviews, Branch Exams, and Advertising Program Reviews, we help mitigate compliance risks and maintain standards of conduct.

Annual Compliance Reviews

Broker-dealers, registered investment advisors, and alternative trading systems must conduct annual compliance reviews to address deficiencies and enhance effectiveness. Oyster’s team of experienced compliance officers and professionals conduct comprehensive assessments, including Best Execution, Employee Trade Monitoring Program, and Information Security reviews. We also offer ATS Annual Audits and internal audits to ensure compliance with state law and regulatory requirements.