Description

Listen to Part 1 of our two-part series on Common Compliance Mistakes as Oyster’s regulatory compliance experts uncover how to spot, prevent, and correct the following issues:

Communication Missteps: Closing the Gaps

• discover where CCOs often fall short in capturing off-channel communications such as texts and chat room interactions  
• gain practical measures every firm should adopt 

Marketing Compliance Challenges
 
 Marketing presents a minefield of compliance challenges. In this episode we will:

• identify common mistakes
• discuss the importance of routine reviews and updates to your firm’s marketing procedures
• share how to craft tailored disclosures in testimonials and endorsements to align with SEC requirements
• offer first-hand experiences with common issues during SEC exams

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