Regulators Share Lessons Learned – Transitioning to Remote Work and Remote Supervision

In June 2020 FINRA (Financial Industry Regulatory Authority), a regulatory body governing broker-dealers int he U.S., released a regulatory notice to help firms understand how their peers are responding to the COVID-19 outbreak.  In this Notice the FINRA staff shared certain observations based on discussions with member firms about steps taken to transition personnel to… READ MORE

Webinar Recording Available: Now What? Next Steps in Preparing for the DOL Fiduciary Rule Change

Oyster Consulting recently presented the second in a series of five webinars addressing the Department of Labor Fiduciary Rule. During the webinar Now What? Next Steps in Preparing for the DOL Fiduciary Rule Change, Oyster Consulting experts Polly Cordle, Pete McAteer and Ami Shah shared: The financial industry’s response to the DOL Rule…so far Oyster’s… READ MORE