All the latest
compliance news,
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Consumer Duty Update
Waystone Compliance Solutions and CCL Academy recently conducted a webinar on the Consumer Duty Update. Hear from expert UK/EU compliance…
March 28, 2023
Is compliance outsourcing right for your firm?
Key considerations for senior management when determining if outsourcing is suitable for your firm.
March 22, 2023
Regulatory Compliance Updates February 2023 – APAC Region
Have a question about any of the below updates? Get in touch with our APAC Compliance solutions team today. 23…
March 17, 2023
FCA publishes Multi-Firm Review on FCA solo-regulated Fast-Growing Firms
On 10 March 2023, the Financial Conduct Authority (FCA) published a Multi-Firm Review summarising its findings and expectations of FCA…
March 13, 2023
Regulatory Update: Middle East Edition – February 2023
This edition includes - Cyber Risk Management Consultation Paper released by DFSA, DFSA release CP148 on the regulation of family…
March 7, 2023
Regulatory Update: UK Edition – February 2023
This UK regulatory update includes - UK sets out plans to regulate cryptoassets, FCA DP23/3 on Updating and improving the…
March 6, 2023
FCA Speech on the Consumer Duty – Key Takeaways
On 22 February 2022, the Financial Conduct Authority (FCA) published a speech by Sheldon Mills, Executive Director, Consumers and Competition,…
February 28, 2023
The SEC's cyber security rules are coming in April 2023
By now everyone should understand the SEC is proposing rule 206(4)-9 under the Advisers Act and 38a-2 under the Investment…
February 23, 2023
Waystone’s FCA Authorisation Clinic
If your firm is considering becoming directly authorised by the FCA during 2023, watch our virtual FCA authorisation clinic which…
February 15, 2023
Regulatory Outlook and Trends for 2023
MAS Priorities for 2023 Corporate Disclosures MAS will enhance effectiveness in pursuing corporate disclosure breaches, including collaboration with key regulatory…
February 13, 2023
Regulatory Update: UK Edition – January 2023
Have a question about any of the updates below? Get in touch with our UK/EU Compliance Solutions team today to…
February 9, 2023
Regulatory Compliance Updates January 2023 – APAC Region
19 January 2023 - Form 26 - Notice of Commencement of Business/Additional Regulated Activities by a Person Exempted from Holding…
February 8, 2023
Information Security and ESG Identified as Key SEC 2023 Exam Priorities
On February 7, 2023, the SEC released its 2023 Examinations Priorities.
February 8, 2023
Regulatory Update: Middle East Edition – January 2023
This edition includes - DFSA representative office sectoral review, New ADGM Authority and RA CEOs appointed, CBUAE new AML guidelines…
February 6, 2023
REMINDER: MAS Revised Guidelines on Business Continuity Management (BCM)
The MAS Guidelines on Business Continuity Management (BCM) set out the need for financial institutions (FIs) to take an end-to-end…
February 1, 2023
FCA publishes its multi-firm review of Consumer Duty implementation plans
On 25 January 2023, the Financial Conduct Authority (FCA) published its multi-firm review of Consumer Duty implementation plans.
January 25, 2023
Regulatory Update: UK Edition – December 2022
This UK regulatory update includes - Chancellor of the Exchequer unveils “Edinburgh Reforms”, PRA speech on Implementing Basel 3.1 in…
January 24, 2023