All the latest
compliance news,
articles and events
Regulatory Update: Middle East Edition - April 2021
This edition includes - DIFC Announces Proposed Intellectual Property Regulations for Consultation, FSRA Introduces New Regulatory Framework for Third Party…
November 18, 2021
Regulatory Update: UK Edition - December 2020
This edition includes - FCA Reminds Firms to be Ready for End of Transition Period, PRA Evaluation of the Senior…
November 18, 2021
Regulatory Update: UK Edition - January 2021
This UK regulatory update includes - FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA…
November 18, 2021
Regulatory Update: UK Edition - February 2021
This UK Regulatory Update includes: FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA Consults…
November 18, 2021
Regulatory Update: UK Edition - March 2021
This edition includes - FCA Launches Campaign to Encourage Individuals to Report Wrongdoing, PRA Publishes Statement on Expectations to Outsourcing…
November 18, 2021
Regulatory Update: UK Edition - April 2021
This edition includes - FCA Consults on New UK Prudential Regime for MiFID Investment Firms, PRA Publishes Consultation Paper to…
November 18, 2021
Regulatory Update: UK Edition - May 2021
This edition includes - FCA Updates Statement on the Operation of MiFID Markets Regime, EBA Consultation on Proposal for a…
November 18, 2021
Regulatory Update: UK Edition - June 2021
This edition includes – FCA Updates & Developments including FCA Updates Authorisation Webpage for Change of Legal Status, PRA Statement…
November 18, 2021
Regulatory Update: UK Edition - July 2021
This edition includes – FCA agreements with overseas regulators, PRA proposal to make changes to policy on designated investment firms,…
November 18, 2021
Regulatory Update: UK Edition - August 2021
This edition includes - FCA consultation paper on new UK Prudential Regime for MiFID investment firms, ESMA Q&As, SFO charges…
November 18, 2021
Regulatory Update: UK Edition - September 2021
This edition includes - FCA publishes draft guidance to allow faster removal of regulatory permissions, PRA consultation paper on identification…
November 18, 2021
Cyber security - is your board protected?
Understand the reasons behind the rise in cybercrime, its implications for businesses, and how Waystone is providing a best-in-class cyber…
November 16, 2021
Regulatory Update: Middle East Edition - October 2021
This edition includes - DFSA introduces regulatory framework for investment tokens, ADGM Office of Data Protection joins Global…
November 15, 2021
The SEC’s Division of Examinations Published Their Observations Regarding IA's Fee Calculations
November 11th | 2021 The SEC’s Division of Examinations (the “Division”) has published their observations regarding Investment Advisers’ Fee Calculations.…
November 11, 2021
The SEC’s Division of Examinations Published Observations From Their Series of Examinations
The SEC’s Division of Examinations released observations from their recent assessments of advisers offering digital investment advisory services.
November 11, 2021
The SEC Has Approved the Public Company Accounting Oversight Board’s Rule 6100
November 9th | 2021 Last week, the SEC announced that it has approved the Public Company Accounting Oversight Board’s (PCAOB)…
November 9, 2021
Preliminary Statements for FINRA BD and IA Renewal Feeds are Available for Viewing
November 9th | 2021 As of yesterday, November 8th, Preliminary Statements for FINRA BD and IA renewal feeds are available…
November 9, 2021
APAC Monthly Newsletter, October 2021
Articles & Events Summary Wishing all our clients and friends good health and prosperity. Happy Diwali from our…
November 4, 2021