Oyster Stew - A Broth of Financial Services Commentary and Insights

Oyster Consulting

Our financial services industry insights come from on-the-ground experience, successfully navigating complex challenges and business. Our insights are your opportunities.

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Top 10 Oyster Stew - A Broth of Financial Services Commentary and Insights Episodes

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Keys to Successful Modern Regulatory Exams

Oyster Stew - A Broth of Financial Services Commentary and Insights

09/08/22 • 14 min

Compliance professionals often dread regulatory exams, but there are effective ways to handle them.

In today’s podcast, hear from Oyster’s experts and former regulators how regulatory exams have become risk-based and data-driven, what is driving exam frequency and what the regulators are looking for.

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 today!

AML Regulatory Expectations in 2022

Oyster Stew - A Broth of Financial Services Commentary and Insights

06/30/22 • 22 min

The recent press attention and the increased use of sanctions as policy are additional drivers to this focus on AML. In today's podcast, our experts share their thoughts on FINRA's 2022 expectations around AML, as well as challenges and best practices they have seen with our clients

The Great Resignation - What It Means for Compliance

Oyster Stew - A Broth of Financial Services Commentary and Insights

05/25/22 • 14 min

One trend in the financial services industry that we've seen recently is a significant increase in turnover in Compliance staff. Firms have challenges in quickly filling those roles. This podcast discusses this trend and what firms can do in order to mitigate the risks associated with this type of turnover.

Reg BI - FINRA's Higher Expectations in 2021

Oyster Stew - A Broth of Financial Services Commentary and Insights

03/09/21 • 9 min

You’ve done the work to get ready for Reg BI...was it enough? Join Oyster CEO Buddy Doyle and consultants Ed Wegener and Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss regulators' expectations around Reg BI compliance in 2021, and how understanding and using FINRA's new Exam Priorities letter format can help you ensure your compliance program will meet those expectations.

When To Leverage A Consulting Firm

Oyster Stew - A Broth of Financial Services Commentary and Insights

05/04/22 • 16 min

There are significant changes happening across so many different facets of our industry, and often at a relatively high velocity. Whether it's social or technological, the advisory focused landscape or regulatory challenges, now is the opportunity for all of us to take a more strategic look at your business. In this Oyster Stew podcast, our experts discuss the many circumstances that cause the firms that we work with to make the decision to bring in a consulting firm.

Resolving Operational Issues Uncovered During Acquisitions and Transformations

Oyster Stew - A Broth of Financial Services Commentary and Insights

05/28/20 • 8 min

Trying to resolve issues and improve operational efficiency by aligning people and technology can lead to unexpected problems and mixed results. Whether your firm leadership wants to evaluate how the firm is running, the firm has recently undergone a merger or acquisition or is experiencing errors, losses or attrition, an Operational Assessment can increase efficiency, save your firm time and even improve your internal and external client and corporate experience.
In this episode, Oyster Associate Director MJ Phillips discusses a variety of operational issues that can be uncovered during a merger, acquisition or transformation, and how outsourcing an operations specialist to preform an operational assessment can help resolve the issues to make firms more efficient and enhance their client service.

Digital Transformation - Control the Change

Oyster Stew - A Broth of Financial Services Commentary and Insights

04/12/22 • 14 min

Today's technology and rate of change creates new challenges for firms of all sizes. They must keep up with the developments, navigate a constant environment of change, and do it all with a clearly articulated digital transformation plan. This podcast episode provides an in-depth conversation about what is meant by digital transformation.

Looking Ahead: Clearing Relationships and Succession Planning

Oyster Stew - A Broth of Financial Services Commentary and Insights

03/26/21 • 11 min

Introducing brokers must look down the road when considering economics and profitability, whether it is looking at a neglected clearing firm contract, or considering consolidation, succession and other alternatives to fulfill future needs. Join our panelists David Williams, Jay Donlin, Dave Osborne and Jim Roth as they talk about what they are seeing in these areas, how firms are handling the current environment and how they are looking toward the future.

Are You Maximizing Your Clearing Firm's Capabilities?

Oyster Stew - A Broth of Financial Services Commentary and Insights

03/25/21 • 18 min

Competition, regulations, technology and reduced margins may be reducing your broker-dealer's bottom line. How do you continue to thrive in this environment? The answer may be right in front of you - your clearing firm. Join our panelists David Williams, Jay Donlin, Dave Osborne and Jim Roth as they talk about how maximizing your clearing firm's capabilities can help your bottom line.

Broker-Dealer Growth - Is Affiliation the Right Option?

Oyster Stew - A Broth of Financial Services Commentary and Insights

10/04/23 • 17 min

Many introducing broker-dealers are moving to affiliate with another broker-dealer. Join Oyster Managing Directors Pete Bowman and Dave Williams as they discuss what affiliation means for broker-dealers, what is driving firms to the strategy, and what part the advisory side of the business plays when firms consider affiliation.

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FAQ

How many episodes does Oyster Stew - A Broth of Financial Services Commentary and Insights have?

Oyster Stew - A Broth of Financial Services Commentary and Insights currently has 168 episodes available.

What topics does Oyster Stew - A Broth of Financial Services Commentary and Insights cover?

The podcast is about News, Investing, Business News, Compliance, Podcasts and Business.

What is the most popular episode on Oyster Stew - A Broth of Financial Services Commentary and Insights?

The episode title 'Cut to the chase - Get the Best Clearing Firm Options' is the most popular.

What is the average episode length on Oyster Stew - A Broth of Financial Services Commentary and Insights?

The average episode length on Oyster Stew - A Broth of Financial Services Commentary and Insights is 20 minutes.

How often are episodes of Oyster Stew - A Broth of Financial Services Commentary and Insights released?

Episodes of Oyster Stew - A Broth of Financial Services Commentary and Insights are typically released every 7 days, 5 hours.

When was the first episode of Oyster Stew - A Broth of Financial Services Commentary and Insights?

The first episode of Oyster Stew - A Broth of Financial Services Commentary and Insights was released on Jun 10, 2019.

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Oyster Stew - A Broth of Financial Services Commentary and Insights

Oyster Consulting

Top 10 Oyster Stew - A Broth of Financial Services Commentary and Insights Episodes

FAQ

How many episodes does Oyster Stew - A Broth of Financial Services Commentary and Insights have?

What topics does Oyster Stew - A Broth of Financial Services Commentary and Insights cover?

What is the most popular episode on Oyster Stew - A Broth of Financial Services Commentary and Insights?

What is the average episode length on Oyster Stew - A Broth of Financial Services Commentary and Insights?

How often are episodes of Oyster Stew - A Broth of Financial Services Commentary and Insights released?

When was the first episode of Oyster Stew - A Broth of Financial Services Commentary and Insights?

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