Shows
Oyster Stew - A Broth of Financial Services Commentary and InsightsSoftware Selection - Where Do I Start?Firms are always looking for ways to improve their bottom line, and updating or upgrading their software is one of them. But where to begin? How do you know if it will work for your firm? What will the implementation look like? What about hidden costs? In this week's episode Polly Cordle, Managing Director of Oyster Solutions Software, offers some tips and tricks on what to look for when you are considering new software. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to...
2020-06-1116 minOyster Stew - A Broth of Financial Services Commentary and InsightsConducting Remote Supervision in Your Transitioning WorkplaceRegulators expect both offsite and onsite monitoring of offices and employees due to the heightened risk inherent in remote arrangements. The work-at-home orders issued by the States in response to the pandemic have created supervision challenges for firms. While some consider the present state the “new normal,” no one really knows how and when this will all progress.In this week's podcast, Oyster CEO Buddy Doyle, General Counsel Patrick M. Dennis and Managing Directors Polly Cordle and Jeffrey Hiller discuss remote supervision, and what that means in the current pandemic workplace, as well as some general best pract...
2020-05-2021 minOyster Stew - A Broth of Financial Services Commentary and InsightsAnnual Review Best Practices - Do You Know What to Look For?In this episode Oyster CEO Buddy Doyle and Managing Director Polly Cordle discuss best practices for conducting broker-dealer and investment advisor annual reviews. Topics include testing your compliance program, including reviewing your compliance calendar to maximize the use of your time and resources, new products, system implementations and taking into account what's different in today's environment. Buddy and Polly also discuss how Oyster Solutions software can make producing your annual review a much more efficient process. Oyster Solutions is one “solution” for many systems: A system to track various workflows and processes across multiple depart...
2020-04-1621 minOyster Stew - A Broth of Financial Services Commentary and InsightsRisk Assessments - Keeping Your Firm FocusedThis week's episode features Oyster CEO Buddy Doyle and Polly Cordle, Managing Director of Oyster Solutions Software, discussing the importance of risk assessments, especially in today's volatile financial situation. Included are best practices for creating and maintaining risk assessments, regulatory reporting around risk, and how Oyster Solutions Software makes maintaining and reporting risk assessments easy. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us...
2020-03-2523 minOyster Stew - A Broth of Financial Services Commentary and InsightsReg BI - The Compliance ObligationIn this episode, Oyster CEO Buddy Doyle, General Counsel Patrick M. Dennis and Managing Director Polly Cordle discuss the Reg BI Compliance Obligation and the core things firms should focus on to fulfill that obligation, including: ProductsAdvertising & MarketingTrainingOyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!
2019-11-0624 min