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Oyster Stew - A Broth of Financial Services Commentary and InsightsAuthor: Oyster Consulting
Our financial services industry insights come from on-the-ground experience, successfully navigating complex challenges and business. Our insights are your opportunities. Language: en-us Genres: Business, Business News, Investing, News Contact email: Get it Feed URL: Get it iTunes ID: Get it |
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Navigating Regulatory Exams: Insights from Former Regulators
Tuesday, 14 January, 2025
Ever wondered how to turn a regulatory exam into a strategic advantage? Join our discussion (Part 1 of 2) with former regulators Patrick Dennis, Evan Rosser, Ed Wegener, Jeffrey Hiller and Bill Reilly as they share their insights into what regulators consider when they come in to do exams, the art of managing document request lists, and how to enhance your firm’s credibility.In this episode we'll explore:The shift in the role of risk analysts and how their insights are reshaping the scope and frequency of firm evaluationsThe various types of exams, from routine to for-cause and sweep examsThe art of managing comprehensive request listsWhy having a single point of contact for regulators within your firm is importantHow proactive communication and self-reporting enhances your firm’s credibility while fostering a collaborative relationship with regulatorsOyster 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!
