Oyster Stew - A Broth of Financial Services Commentary and Insights
Oyster Consulting
185 episodes
1 month ago
In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance experts Brent Nicks and Len Derus—this time focusing on the most pressing challenges firms face in applying Reg BI and fiduciary duty in practice: documentation, compensation conflicts, and rollover recommendations. What You'll Learn in Part 2 Documentation Expectations: When to document recommendations—and when not to—including product complexity, costs, and client-specific factors.Supervisory Ove...
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In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance experts Brent Nicks and Len Derus—this time focusing on the most pressing challenges firms face in applying Reg BI and fiduciary duty in practice: documentation, compensation conflicts, and rollover recommendations. What You'll Learn in Part 2 Documentation Expectations: When to document recommendations—and when not to—including product complexity, costs, and client-specific factors.Supervisory Ove...
Oyster Stew - A Broth of Financial Services Commentary and Insights
13 minutes
6 months ago
3 Reasons You Must Review Your Clearing Contract
Your clearing agreement is the backbone of your brokerage firm’s operations, yet many firms fail to review it until it’s too late. In this week’s episode, Oyster’s David Williams and Peter Sheehan break down why your clearing contract should be a top priority and what you should consider when evaluating your agreements. You’ll learn: · Why your clearing agreement should be a priority · Key warning signs for when to review your contract · &n...
Oyster Stew - A Broth of Financial Services Commentary and Insights
In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance experts Brent Nicks and Len Derus—this time focusing on the most pressing challenges firms face in applying Reg BI and fiduciary duty in practice: documentation, compensation conflicts, and rollover recommendations. What You'll Learn in Part 2 Documentation Expectations: When to document recommendations—and when not to—including product complexity, costs, and client-specific factors.Supervisory Ove...
