DiscoverOyster Stew - A Broth of Financial Services Commentary and InsightsAnnual Review Best Practices - Do You Know What to Look For?
Annual Review Best Practices - Do You Know What to Look For?

Annual Review Best Practices - Do You Know What to Look For?

Update: 2020-04-16
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In this episode Oyster CEO Buddy Doyle and Managing Director Polly Cordle discuss best practices for conducting broker-dealer and investment advisor annual reviews. Topics include testing your compliance program, including reviewing your compliance calendar to maximize the use of your time and resources, new products, system implementations and taking into account what's different in today's environment. Buddy and Polly also discuss how Oyster Solutions software can make producing your annual review a much more efficient process. 

Oyster Solutions is one “solution” for many systems: 

  • A system to track various workflows and processes across multiple departments.
  • Advertising submission tracking including teaching your employees how to submit “compliant” pieces
  • A system that produces metrics and reporting dashboards for management to assess progress
  • Trade monitoring and best interest alert system to advise when portfolios fall out of line
  • System(s) for tracking employee attestations and training throughout the calendar year
  • A system to keep in line policies with procedures and ensure one doesn’t exist without the other

 

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Annual Review Best Practices - Do You Know What to Look For?

Annual Review Best Practices - Do You Know What to Look For?

Buddy Doyle, Polly Cordle