• Oyster Stew - A Broth of Financial Services Commentary and Insights

  • De: Oyster Consulting
  • Podcast

Oyster Stew - A Broth of Financial Services Commentary and Insights

De: Oyster Consulting
Escúchala gratis

  • Resumen

  • We try to take a look at industry news and give you the highlights for Compliance, Operations and Strategy Departments and Associates.
    © 2023 Oyster Stew - A Broth of Financial Services Commentary and Insights
    Más Menos
Episodios
  • Starting Your RIA - Registration and Compliance Requirements

    Starting Your RIA - Registration and Compliance Requirements
    Aug 7 2024

    Embarking on the path to becoming an RIA is an exhilarating time filled with opportunities and challenges, and our experts are here to guide you every step of the way. In this episode, we'll delve into essential aspects of the registration process and compliance requirements. By addressing these critical components, you'll set a solid foundation for your firm's success.


    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!
    Más Menos
    38 m
  • Starting Your RIA - What You Need To Know Before You Go

    Starting Your RIA - What You Need To Know Before You Go
    Jul 24 2024

    When starting a Registered Investment Advisor there are fundamental aspects you must understand before taking this step. Oyster's experts Brent Nicks, Nolan Hughes and Dan Garrett provide an overview into things you need to think through and put in place to build a solid foundation for your firm’s success:

    • Establishing Key Positions
    • Navigating Partnerships
    • Risk Management and Compliance
    • Operations Must-Haves
    • Choosing a Custodian
    • Strategic Growth Planning


    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!
    Más Menos
    29 m
  • Industry Update: T+1 and CAT CAIS Reporting

    Industry Update: T+1 and CAT CAIS Reporting
    Jul 11 2024
    May 2024 saw the implementation of two major industry projects: T+1 and go-live compliance for CAT/CAIS reporting. Experts Jeff Gearhart and Ralph Magee provide the latest updates on T+1 from industry meetings and key participants, including

    • Affirmation and fail rates,
    • margin balances,
    • securities lending
    • and his outlook for the future around T+1
    Our experts also discuss what industry members and clients are seeing post implementation, what they can expect to see in the future, insights into issues that firms are currently struggling with, as well as the need for industry members to consider the data they are providing FINRA and ensure they are prepared for inquiries and sweeps.


    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!
    Más Menos
    12 m
Empresas y Profesiones Economía Finanzas Personales Política y Gobierno
Más Menos

Lo que los oyentes dicen sobre Oyster Stew - A Broth of Financial Services Commentary and Insights

Calificaciones medias de los clientes

Reseñas - Selecciona las pestañas a continuación para cambiar el origen de las reseñas.

Reseñas de Audible.com

Opiniones de Amazon
No hay comentarios disponibles