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!

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!

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!

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 service with regulatory requirements. Listen now to gain valuable insights that will help protect your firm from unintentional custody violations while maintaining exceptional client service. Review your operational procedures today to ensure you're not triggering custody requirements without proper safeguards in place.

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!

Join Oyster experts as they provide real-world insight into the shifting CAT and CAIS landscape, including:

• The current regulatory focus on removing PII information from CAIS reporting
• Implementation uncertainty - where FINRA guidance falls short
• Member firms grappling with the scope of PII removal at account and customer levels
• Blue sheets and CAIS - redundant reporting and integration challenges
• CAT reporting's critical role in market surveillance during volatile trading periods
• How the multi-year phased implementation approach provides a potential model for future regulations

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!

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

· How pricing models have evolved

· Some hidden costs and contract pitfalls AND

· Considerations for exploring the marketplace

From pricing models to advisory programs, hidden fees, and the right technology, David and Peter share their decades of expertise to help you optimize your clearing relationship and ensure it aligns with your firm’s growth and strategy.

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!

In this episode of the Oyster Stew Podcast, Dan Garrett and Jay Donlin break down the critical—but often overlooked—factors that determine whether your technology investments will actually move the needle for your firm. From setting business-driven goals to avoiding the allure of flashy tools with limited value, they walk through practical insights that can save you time, money, and internal frustration.

What You’ll Learn

· Start with Strategy, Not Software

· Beware the Shiny Object

· Don’t Underestimate Adoption and Training

· Data Strategy

· Measure Before and After: ROI Isn’t Optional

· Knowing When to Walk Away

Whether you're considering AI adoption or evaluating more fundamental systems, this conversation offers essential wisdom for anyone responsible for technology decisions. Listen now to ensure your next technology investment truly advances your business goals rather than becoming another expensive disappointment.

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!

Understanding and implementing the new FINCEN AML (anti-money laundering) requirements for registered investment advisors (RIAs) is crucial to achieving compliance by the 2026 deadline. Preparing for AML compliance as an RIA will take time. Firms must develop and implement risk-based AML programs, appoint compliance officers, establish monitoring systems, and ensure staff receive proper training—steps that require careful planning and execution well ahead of the 2026 deadline.

Join Ed Wegner and Bryan Jacobson as they discuss

· 8 critical elements of compliance and their implications

· Building a strong AML program: steps for RIAs

· The importance of a risk-based approach to AML compliance

· Key elements required for establishing an AML program

· The role of a designated AML Compliance Officer (AMLCO)

· Independent testing and ongoing compliance monitoring

· Leveraging third-party resources and ensuring adequate training

Whether you are already familiar with AML regulations or completely new to the topic, this episode provides essential insights to prepare your firm for the upcoming changes. Tune in to ensure that you have the knowledge and tools needed to comply with these vital regulations.

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!