Wolters Kluwer invited Oyster Senior Consultant Robert Tuch, Esq. to write an article on “Compliance Challenges for Dually-Registered Firms,” which is in the latest issue of Practical Compliance & Risk Management for the Securities Industry. We hope you find it useful. If you would like to hear more on this topic please call Oyster Consulting at (804) 965-5400. We would also be happy to speak with you in greater detail about any other consulting needs your firm may have.
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Whether you’re registering for the first time, preparing for an examination, or looking for ongoing compliance support, CRC Oyster is the full-service partner to help you find the right path.