Shows
Oyster Stew - A Broth of Financial Services Commentary and InsightsAre You Unintentionally Triggering Custody? Hidden Risks in Everyday Advisory PracticesIn this episode of the Oyster Stew podcast, regulatory compliance experts Ed Wegener, Candy Palugi, and Nolan Hughes examine the nuanced world of custody regulations and outline concrete steps firms should take when custody is discovered, including ADV amendments, engaging independent accountants for verification audits, and implementing enhanced supervision procedures.For compliance professionals and advisory firm leaders, this conversation provides essential guidance on balancing client service with regulatory requirements. Listen now to gain valuable insights that will help protect your firm from unintentional custody violations while maintaining exceptional client service. Review your operational procedures today to ensure...
2025-05-2215 min
Oyster Stew - A Broth of Financial Services Commentary and InsightsGrowth Strategies: The Power of OutsourcingIn this episode of the Oyster Stew Podcast, our panel of financial services experts breaks down the key considerations for outsourcing critical functions, such as compliance, finance, and vendor selection. Whether you’re launching a new firm, looking to scale efficiently, or navigating complex regulatory landscapes, outsourcing services can provide cost-effective expertise and operational flexibility.Our expert panel—Sarah Sutton, Candy Palugi, Evan Rosser, Jay Donlin, Fred Wagstaff, and Jeff Wilk—shares real-world insights on when outsourcing makes sense, how to assess your firm’s needs, and the long-term benefits of working with experienced operations and compliance consulta...
2025-02-1428 min