Webinar Recording Available: Emerging Technologies – Existing Regulations

In Case You Missed It… A recording is now available of the May 1, 2018 webinar, “Emerging Technologies – Existing Regulations,”  co-sponsored by Oyster Consulting and the NSCP. Innovation always outpaces regulation.  Firms have a constant struggle to balance the fear of being left behind by market innovators against the risk of a regulatory action. … READ MORE

Oyster Consulting’s Harriet Britt Article “FINRA Digital Advice and the Robo-World” in NSCP’s April Issue of Currents

Oyster Senior Consultant Harriet Britt recently contributed her article, “FINRA Digital Advice and the Robo-World” to the National Society for Compliance Professional’s (NSCP) latest issue of Currents, the organization’s monthly publication for industry professionals.  The article reviews FINRA’s “Report on Digital Advice,” including  supervision of testing algorithms and tools, fees and expenses, investor profiles and… READ MORE

NSCP & Oyster Consulting Webinar: The MCDC Initiative

On June 18, 2015, the SEC released its first settlements with municipal securities underwriters on their continuing disclosure obligations under SEC rule 15c2-12, also known as “MCDC”. These come after firms self-reported violations of compliance with the rule last fall. It is estimated that hundreds of additional settlements may be in process. Join us on… READ MORE