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Submitted URL: http://www.oysterllc.com/
Effective URL: https://www.oysterllc.com/
Submission: On October 06 via api from US — Scanned from DE
Effective URL: https://www.oysterllc.com/
Submission: On October 06 via api from US — Scanned from DE
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</form>Text Content
* Contact Us
*
* Who We Are
* Leadership
* Consultants
* Business Development
* What We Do
* Consulting
* Strategy
* Clearing Contract Review
* Succession Planning
* Management Consulting
* Compliance
* Operations
* Clearing Conversion Support
* Future Operating Model
* Platform Review
* Technology Review
* System Assessment, Due Diligence, Selection & Implementation
* Capital Markets
* Trade Desk Review
* Market Access
* Consolidated Audit Trail
* Registration
* Broker-Dealer FINRA New Member Application
* Registered Investment Advisor Registration
* Finance
* Planning and Client Engagement
* Planning Services Advisor Mentoring
* Advisor Services Plan Building
* Expert Witness
* Outsourcing
* Consolidated Audit Trail
* Outsourced Chief Compliance Officer (CCO)
* Outsourced FINOP Services
* Trading Supervision
* Compliance
* Testing (Assurance)
* Broker-Dealer Rule 3120/3130 Services
* Branch Exams
* Anti-Money Laundering (AML) Annual Testing
* Registered Investment Advisor (RIA) Annual Compliance
* Support
* Broker-Dealer and RIA Compliance Support
* Form ADV Services
* New Products Process Review
* Program Review
* Broker-Dealer Compliance Program Review
* Code of Ethics, Policies & Procedures Manual, Written Supervisory
Procedures
* Anti-Money Laundering (AML) Compliance Program
* Registration
* Registered Investment Advisor Registration
* Broker-Dealer FINRA New Member Application
* Remediation
* Independent Consultant SEC/FINRA
* Regulatory Response
* Governance Risk Compliance Software
* Oyster Solutions
* Our Clients
* Broker-Dealers
* Exchanges / ATS
* Investment Advisors
* Law Firms
* Additional Clients
* What We Think
CONSULTING OUTSOURCING SOFTWARE
We create simplicity in a complex environment
We look beyond the immediate,
helping you create a sustainable competitive advantage
What We Do
WHAT WE DO
We ensure our clients have the knowledge and tools they need to thrive today,
and in the future. Through our services, we establish strong relationships—we
want to be your first call for objective advice, industry expertise and sensible
solutions.
* Consulting
* Outsourcing
* Compliance
* Oyster Solutions
Learn What We Do
INDUSTRY INSIGHTS
TURNING EXAM PRIORITIES INTO ACTION ITEMS
In this Oyster Stew podcast Oyster Consulting’s experts discuss where exam
priorities come from, how they’re used by the regulators and how you can use
them to assess your compliance program.
Read More
TOKENIZED SECURITIES VS SECURITY TOKEN
In this Oyster Stew podcast, Oyster’s experts discuss the nuances for
determining if a digital token, whether it is a tokenized security or a security
token, is in fact a security.
Read More
CLEARING PLATFORMS – THE AXIS OF YOUR RELATIONSHIPS
There are many factors in today’s marketplace that are changing the way
introducing brokers and advisory firms think about their clearing and custodial
platforms. Everything you do revolves around your clearing relationships: your
clients, financial professionals, support staff, technology platform,
operations, digital experience and compliance are some of those dependencies,
and don’t forget about the impact on your P&L.
Read More
Subscribe to our Original Industry Insights
THE CORNER OFFICE
Content curated for and by Industry Leaders
HOW A CORPORATE DIGITAL STRATEGY CAN HELP YOUR FIRM ADAPT AND POSITION ITSELF
FOR AN INNOVATIVE FUTURE
What is digital transformation and what are the evolving impacts for Capital
Markets and Wealth Management?
Listen to the Podcast
OYSTER SOLUTIONS
Governance, risk and compliance software created by industry professionals for
capital markets and wealth management.
Discover Our Software
At Oyster Consulting, we saw the opportunity to create a new type of consulting
firm with the belief that we could create a better outcome for our clients. We
believed if we hired experienced industry practitioners, with a deep knowledge
of how capital markets and wealth management organizations have evolved, with a
clear understanding of how firms operate and a focus on innovation instead of
disruption—a focus that looks beyond the engagement to create a sustainable
competitive advantage—we could help our clients make the best choices and create
simplicity in a complex environment.
Meet Our Consultants
GET IN TOUCH
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Email*
Phone
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Job Title
Comments
JOIN US ON
We pioneer thought leadership and routinely share Oyster Consulting updates
leveraging social media. Engage with us and share innovative ideas, industry
challenges and thoughtful C-Suite insights.
Connect With Us
4128 Innslake Dr. Glen Allen, VA 23060
Oyster Consulting LLC © 2021 | Privacy Policy
*
*
*
*
* Who We Are
* Who We Are
* Leadership
* Consultants
* Business Development
* What We Do
* What We Do
* Consulting
* Consulting
* Strategy
* Strategy
* Clearing Contract Review
* Succession Planning
* Management Consulting
* Compliance
* Operations
* Operations
* Clearing Conversion Support
* Future Operating Model
* Platform Review
* Technology Review
* Technology – Cybersecurity / Digital Transformation
* Capital Markets
* Capital Markets
* Trade Desk Review
* Market Access
* Consolidated Audit Trail
* Registration
* Registration
* Broker-Dealer FINRA New Member Application
* Registered Investment Advisor Registration
* Finance
* Finance
* Planning and Client Engagement
* Planning and Client Engagement
* Planning Services Advisor Mentoring
* Advisor Services Plan Building
* Expert Witness
* Outsourcing
* Outsourcing
* Consolidated Audit Trail
* Outsourced Chief Compliance Officer (CCO)
* Outsourced FINOP Services
* Outsourced FINOP Services
* Trading Supervision
* Compliance
* Compliance
* Testing (Assurance)
* Testing (Assurance)
* Broker-Dealer Rule 3120/3130 Services
* Branch Exams
* Anti-Money Laundering (AML) Annual Testing
* Registered Investment Advisor (RIA) Annual Compliance
* Support
* Support
* Broker-Dealer and RIA Compliance Support
* Form ADV Services
* New Products Process Review
* Program Review
* Program Review
* Broker-Dealer Compliance Program Review
* Code of Ethics, Policies & Procedures Manual, Written Supervisory
Procedures
* Anti-Money Laundering (AML) Compliance Program
* Registration
* Registration
* Registered Investment Advisor Registration
* Broker-Dealer FINRA New Member Application
* Remediation
* Remediation
* Independent Consultant SEC/FINRA
* Regulatory Response
* Governance Risk Compliance Software
* Governance Risk Compliance Software
* Oyster Solutions
* Our Clients
* Our Clients
* Broker-Dealers
* Exchanges / ATS
* Investment Advisors
* Law Firms
* Additional Clients
* What We Think
* About
* Employment
* Contact Us