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We try to take a look at industry news and give you the highlights for Compliance, Operations and Strategy Departments and Associates.

We try to take a look at industry news and give you the highlights for Compliance, Operations and Strategy Departments and Associates.
More Information

Location:

United States

Description:

We try to take a look at industry news and give you the highlights for Compliance, Operations and Strategy Departments and Associates.

Twitter:

@oysterllc

Language:

English

Contact:

8045216022


Episodes

Effective Expert Witnesses

12/4/2019
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Oyster Consulting General Counsel Patrick M. Dennis and Independent Consultant Andy Favret discuss what makes an effective Expert Witness, as well as the typical industry cases they have participated in as an expert witness.

Duration:00:16:59

Advertising Rules - Enforcement Actions and the Impact of Reg BI

11/20/2019
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In this episode, Part 2 of 2, Oyster Associate Director Bill Reilly and Senior Consultant Michelle Craft discuss relevant SEC enforcement actions around Advertising, and the impact Reg BI will have on Advertising policies and procedures, especially the use of titles.

Duration:00:14:06

Mad Men Area Advertising Rule Changes Proposed

11/15/2019
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The SEC Advertising Rule hasn’t been amended since 1961 – a time before widespread use of desktop computers, cell phones, social media or even websites. In this episode, Part 1 of 2, Oyster Associate Director Bill Reilly and Senior Consultant Michelle Craft discuss the proposed changes in detail and what firms should be thinking about when assessing their advertising materials.

Duration:00:24:36

Reg BI - The Compliance Obligation

11/6/2019
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This episode discusses the Reg BI Compliance Obligation and the core things firms should focus on to fulfill that obligation, including:

Duration:00:24:02

Reg BI - The Disclosure Obligation

10/30/2019
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This episode discusses the Regulation Best Interest Disclosure Obligation - what it means for broker-dealers, advisors and dual registrants. Topics include disclosure and conflict examples, as well as Form CRS requirements.

Duration:00:16:07

Reg BI - The Care Obligation

10/23/2019
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In this episode, Oyster Consultants Bob Tuch and Joe Sisti, along with Oyster's General Counsel Patrick M. Dennis, discuss the Regulation Best Interest (Reg BI) Care Obligation. Bob and Joe touch on factors to consider when making recommendations, "Reasonable Available Alternatives," account selection and rollover recommendations.

Duration:00:20:26

Reg BI - Conflicts of Interest Obligation

10/16/2019
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This episode discusses the Regulation Best Interest (Reg BI) Conflicts of Interest Obligation, including: Reg BI requirements touch on many, many aspects of Broker-Dealer and RIA businesses. Oyster can help your firm navigate the rule and make sure your firm is compliant and ready for the implementation deadline.

Duration:00:27:21

Reg BI - It's A Bigger Deal Than You Might Think

10/9/2019
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(Recorded October 3, 2019) Reg BI is a bigger deal than you might think, and the implementation deadline is only 9 months away. This episode presents an overview of the four Obligations of Reg BI and what firms need to be doing. Reg BI will affect many, many aspects of a firm's policies and operations, from marketing and advertising to compensation, recommendations and communications, to name a few. Patrick gives an update on what regulators and industry members are saying, and touches on...

Duration:00:20:20

Reg BI - Now in Play

6/10/2019
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Reg Bi - Who's Affected and What firms Should be Doing Now Links that might be helpful: The Press Release from the Securities Exchange Commission: https://www.sec.gov/news/press-release/2019-89 Link to information about Form CRS: https://www.google.com/url?sa=t&rct=j&q=&esrc=s&source=web&cd=2&ved=2ahUKEwifvofg6d_iAhXLslkKHVJ_Ck8QFjABegQIAhAC&url=https%3A%2F%2Fwww.sec.gov%2Frules%2Fproposed%2F2018%2F34-83063-appendix-b.pdf&usg=AOvVaw1S9x129rotNw4jqu46Robq

Duration:00:11:08