Oyster Stew - A Broth of Financial Services Commentary and Insights
Oyster Consulting
187 episodes
2 weeks ago
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!
All content for Oyster Stew - A Broth of Financial Services Commentary and Insights is the property of Oyster Consulting and is served directly from their servers
with no modification, redirects, or rehosting. The podcast is not affiliated with or endorsed by Podjoint in any way.
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!
Are You Unintentionally Triggering Custody? Hidden Risks in Everyday Advisory Practices
Oyster Stew - A Broth of Financial Services Commentary and Insights
15 minutes
7 months ago
Are You Unintentionally Triggering Custody? Hidden Risks in Everyday Advisory Practices
In this episode of the Oyster Stew podcast, regulatory compliance experts Ed Wegener, Candy Palugi, and Nolan Hughes examine the nuanced world of custody regulations and outline concrete steps firms should take when custody is discovered, including ADV amendments, engaging independent accountants for verification audits, and implementing enhanced supervision procedures. For compliance professionals and advisory firm leaders, this conversation provides essential guidance on balancing client se...
Oyster Stew - A Broth of Financial Services Commentary and Insights
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!
