Regulatory Update September 2025 – US Region

This US Regulatory Update includes SEC unveils 2025 agenda focused on innovation and oversight, Nasdaq proposes rule to enable trading…
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Regulatory Update September 2025 – UK Region

Waystone Compliance Solutions Waystone provides comprehensive compliance solutions to the asset management and finance industry to enable our clients to…
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SEC Operations Paused Amid Government Shutdown: A Strategic Moment for Compliance Readiness

As the federal government shutdown continues, the US Securities and Exchange Commission (SEC) has suspended most of its routine operations.
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Regulatory Update September 2025 – ME Region

Stay informed with our Regulatory Update Navigate the ever-evolving regulatory landscape with our Regulatory Update. Our team of compliance experts…
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SFC Regulations on Business Continuity Plans

As a licensed corporation (LC) under the Securities and Futures Commission (SFC) in Hong Kong, maintaining robust operational resilience is…
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Strengthening Your Compliance Program Through Effective Annual Compliance Reviews Under Rule 206(4)-7

The Investment Advisers Act of 1940 was created to put investors first, ensuring that Registered Investment Advisers (RIAs) act with…
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Phishing Detection and Prevention: Key Takeaways from the SFC Circular

As phishing scams continue to impact clients and markets in 2025, the Securities and Futures Commission (SFC) issued a circular…
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Safeguarding Trust: The Importance of Data Protection in Dubai’s Virtual Asset Ecosystem

As Dubai continues to position itself as a global hub for digital innovation, the Virtual Assets Regulatory Authority (‘VARA’) has…
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Regulatory Updates August 2025 – APAC Region

Stay informed with our Regulatory Update Navigate the ever-evolving regulatory landscape with our Regulatory Update. Our team of compliance experts…
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SFC Enhances Facilitative Measures for Visiting Professionals

On 15 July 2025, the Securities and Futures Commission (SFC) issued a circular announcing enhanced measures to facilitate visiting professionals…
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Regulatory Update August 2025 – US Region

This US regulatory updates includes SEC launches artificial intelligence task force, executive order expands retirement access to alternative assets, updated…
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SFC Resumes Collection of Annual Licensing Fees

The Securities and Futures Commission (SFC) issued a circular announcing the resumption of annual licensing fee collections for intermediaries and…
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Regulatory Update August 2025 – UK Region

Waystone Compliance Solutions Waystone Compliance Solutions offers a new and unique approach to compliance services at a corporate level. Formed…
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Regulatory Update August 2025 – ME Region

This editions includes: DFSA Holds an Outreach Session on the Annual Anti-Money Laundering Return, FSRA Publishes Amendments to Its Prudential…
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Regulatory Updates July 2025 – APAC Region

This APAC Regulatory Update includes MAS issues guidance for financial institutions on managing technology and cyber risks from third-party service…
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Preparing for an SFC Inspection: A Guide for Licensed Corporations

As a corporation licensed by the Securities and Futures Commission (SFC) in Hong Kong, strict adherence to regulatory requirements is…
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From Hope to Action: Tackling Cyber Risk in Financial Services

If you are in financial services today, cyber risk is not theoretical. It is a growing, persistent threat and it…
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MAS Tightens AML/CFT Rules: Key Changes Every Financial Institution Must Know

On 30 June 2025, the Monetary Authority of Singapore (MAS) published its finalised response to consultation feedback on proposed amendments…
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