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Oyster Consulting, LLC
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Looking Out for Baby Boomers: Are You Protecting Your Senior Clients and Your Firm? -     The U.S. population is aging – in January 2011, thousands of Baby Boomers began turning 65 every day.   FINRA’s new rules to increase protections for vulnerable investors and to provide firms with guidelines to ensure these protections take effect February 5, 2018.  Is your firm ready to handle the issues that come with having senior clients? Join Oyster Consulting for a 45-minute webinar as our paneli...
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Senior and Vulnerable Adult Client Protection: A Continuing Issue for the Securities Industry and Regulators -   If you are waiting until February 5th to implement procedures to protect senior and vulnerable adults because that is when the FINRA rule is effective, you may be risking a violation of current state regulations. In June and August 2017, the North American Securities Administrators Association (“NASAA”) published findings from a review of broker-dealer activity and a survey of th...
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DOL Extends Fiduciary Rule Transition Period - On Monday, November 27, 2017, the Department of Labor (DOL) announced an 18-month extension of its Fiduciary Rule transition period (Transition Period).  The primary purpose of the extension was to give the DOL additional time to consider public comments under criteria set forth in the Presidential Memorandum issued on February 3, 2017. In light of these developments, here are a few important things to keep in mind: The DOL’s Transition Period ...
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Municipal Advisors Warned About Compliance Obligations - On November 7, 2017 the SEC Office of Compliance Inspections and Examinations (OCIE) issued a risk alert announcing it had conducted 110 exams of municipal advisors.  The examinations evaluated compliance with regulatory obligations including registration, statutory fiduciary standard of care, fair dealing, record keeping, and supervision. The staff observed that municipal advisors were “generally unfamiliar with many of their regulat...
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A DOL Fiduciary Rule Update – Where Are We Now? -     Are you wondering what is happening with the DOL Rule, and what other firms are doing?  Are you not sure what the impacts are for Registered Investment Advisors and Broker-Dealers? It’s been a bumpy ride for the DOL Fiduciary Rule so far, and firms have taken various approaches to navigating the changes and delays.  Join our 45-minute webinar on November 8, 2017 at 3:00pm EST as our experts discuss these and other topics: The status of t...
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