All the latest
compliance news,
articles and events
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This edition includes - FCA publishes draft guidance to allow faster removal of regulatory permissions, PRA consultation paper on identification…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
Recent Updates to the List of FATF-Identified Jurisdictions
November 4th | 2021 FATF updated their Jurisdictions under Increased Monitoring on October 21st, 2021. The list covers high-risk jurisdictions…
November 3, 2021
Regulatory Compliance Solutions in Singapore
We were delighted to have the opportunity of introducing the Argus team to our colleagues and friends at Waystone, and…
November 2, 2021
Presenting Waystone Compliance Solutions
Waystone Compliance Solutions offers a new and unique approach to compliance services at a corporate level. Formed by merging four…
October 29, 2021
Regulatory Update: Middle East Edition - September 2021
This edition includes - DIFC hosts Blockchain Week, ADGM Arbitration Centre and Permanent Court of Arbitration sign a Cooperation Agreement,…
October 11, 2021
Getting set up in Singapore - What are the jurisdictional advantages for fund managers
Are you a regulated fund manager looking to get setup in Singapore and take advantage of its jurisdictional advantages? Find…
October 8, 2021