Oyster Stew - A Broth of Financial Services Commentary and Insights Podcast Por Oyster Consulting arte de portada

Oyster Stew - A Broth of Financial Services Commentary and Insights

Oyster Stew - A Broth of Financial Services Commentary and Insights

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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 Economía Finanzas Personales Política y Gobierno
Episodios
  • The Power and Potential of Artificial Intelligence in Financial Services - Part 1
    Jul 9 2025

    In this special series of the Oyster Stew podcast, Oyster Consulting’s Pete McAteer, Dan Garrett and Jeff Gearhart team up with Carolyn Welshhans, a partner at Morgan, Lewis & Bockius LLP, to unpack the real-world applications, regulatory risks, and emerging opportunities of AI.

    In our kickoff episode, the panel explores how firms are already leveraging AI to drive compliance efficiency, manage operational workflows, and reduce false positives in surveillance systems—starting with smarter email review.

    Whether you're evaluating new fintech tools, implementing generative AI, or managing governance across platforms, this series offers essential insights from industry veterans with decades of hands-on experience in wealth management, trading, technology, and SEC enforcement


    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!

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    17 m
  • AML in Action: Practical Strategies for Surveillance, Training, and SAR Reporting
    Jun 20 2025

    In this episode of the Oyster Stew podcast, Oyster Consulting’s Ed Wegener and Bryan Jacobsen break down how firms can implement risk-based monitoring, tailor training for frontline roles, conduct effective investigations, and ensure your firm’s Suspicious Activity Report (SAR) filings are what regulators require.

    Key Takeaways

    • What regulators expect from your AML compliance program
    • Risk-based surveillance: Going beyond cookie-cutter monitoring
    • How to tailor red flag training by employee role
    • Investigating suspicious activity: When to file a SAR, how to do it right
    • Leveraging third-party vendors for transaction surveillance and case management
    • Common mistakes firms make—and how to avoid them


    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!

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    33 m
  • CAT Compliance - Build the Surveillance Framework Regulators Demand
    Jun 5 2025

    Your CAT reporting compliance requires more than just data submission; you need comprehensive surveillance programs that include monitoring both exceptions and successful reports to maintain regulatory compliance.

    Listen to this week’s Oyster Stew podcast as Oyster experts Ralph Magee and Steve Kuhs share their expertise in CAT and CAIS reporting, providing you with the information you need to build an effective CAT reporting compliance program.


    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!

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    28 m
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