Trading Supervision for Firms

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Addressing compliance and operational challenges in trading supervision requires oversight and adherence to regulatory mandates.

Addressing Challenges to Effective Trading Supervision

In today’s regulatory environment, compliance supervision is paramount to mitigate risks and ensure adherence to applicable securities laws. However, navigating the complexities of regulatory mandates like FINRA Rule 3110 and 3120 can be daunting for firms.

Managing compliance supervision poses challenges, including the need to establish supervisory activities, maintain written supervisory procedures (WSPs), review transactions and address customer complaints effectively. Failure to comply with regulatory requirements can lead to financial penalties and reputational harm.

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Meet Your Supervisory Responsibilities with Ease

In response to the complexities of trade supervision, our services encompass a wide array of solutions tailored to the needs of member firms. We focus on establishing and maintaining effective oversight mechanisms, particularly within Offices of Supervisory Jurisdiction (OSJs), to ensure compliance with applicable securities laws and regulations.

Our approach includes thorough reviews of books and records, comprehensive internal communications protocols, and the development of robust supervisory procedures designed to achieve and sustain compliance standards. By leveraging our expertise, we empower firms to navigate regulatory requirements effectively and mitigate potential risks associated with non-compliance.

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Trading Surveillance and Trade Supervision

Our software platform, Oyster Solutions, allows you to efficiently manage the surveillance, trade supervision and regulatory compliance of your client and employee trade activity. Client trade activity, investment holdings, and client profile information are compared with employee information to look for conflicts of interest, compliance parameters, and risk tolerance. The automated trade supervision tool then alerts supervisors to activity that falls outside of the firm’s customized parameters in the alert engine.

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Trade Supervision Services

Compliance related topics: permitted activities, best execution, mark-up’s, market-making rules (e.g., front running, spoofing, etc.)
Desk participation in primary issuance markets including DCM, ECM and Public Finance activities
Transaction flow and operational procedures for front-, middle-, and back-office functions
Management and supervision of trade desk activities (e.g., risk management, trading desk profitability, sales coordination, key performance metrics/reporting)
Document processes and support development of operating procedures
Prepare and conduct training for current and future associates
Support regulatory, audit and other inquiries
Review of policies, processes and procedures
Conduct interviews with key staff and stakeholders
Discuss recommendations/alternatives

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The Oyster Difference:

Oyster consultants bring a wealth of real-world experience in trading, risk management, operations, and regulatory compliance oversight. We understand the nuances of the financial industry and the importance of serving clients’ best interests while meeting regulatory requirements. Our proactive approach to managing and enforcing internal and regulatory policies sets us apart, allowing us to identify and address potential risks before they escalate.

What sets Oyster apart is our commitment to providing personalized and proactive support to our clients. We go beyond traditional compliance services by actively managing, monitoring, and enforcing supervisory controls to protect your firm’s business and reputation. With Oyster, you can trust that your compliance program is in capable hands, allowing you to focus on driving business growth and serving your clients with confidence.

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Case Study

Challenge

Finding The Right Vendor

Firms often find that vendors fail to add value and become a source of frustration rather than support.

Solution

Industry Experts

Utilizing Oyster Consulting’s experienced and knowledgeable consultants transforms your vendors into valuable resources.

Outcome

Overall Growth

Our consultants have specialized skills to help your firm achieve its business goals, growth objectives and maintain a system of reasonable compliance.

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Discover how our expert consultants can drive your success—get the full case study and learn more about how to partner with the right vendor for your firm’s success.

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