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SEC adopts amendments to beneficial ownership reporting rules
Compliance Date: Compliance with the revised Schedule 13G filing deadlines was mandated on September 30, 2024. Compliance with the structured…
November 11, 2024
Incident response planning - navigating cyber security emergencies
In today’s cyber landscape, where threats are becoming increasingly complex and frequent, having an incident response plan ("IRP") is essential…
November 6, 2024
Navigating the new UAE insurance landscape
The Federal Decree-Law No. 48 of 20231 marks a significant overhaul of the UAE’s insurance regulatory framework, aligning it with…
November 5, 2024
MAS provides an update to fund tax incentive schemes for family offices
On 1 October, the Monetary Authority of Singapore (MAS) released details of changes to the fund tax incentive schemes under…
November 4, 2024
MAS reminder - Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) audits
On 21 October 2024, the Monetary Authority of Singapore (MAS) issued a circular to remind Financial Institutions (FIs) about the…
October 29, 2024
NFA Compliance Rule 2-52: NFA Member Questionnaire requirements
Effective Date: October 15, 2024
October 29, 2024
DFSA – Fixed Penalty Notice Regime
On 15 April 2024, the Dubai Financial Services Authority (‘DFSA’) introduced a new Fixed Penalty Notice (‘FPN’) regime.
October 29, 2024
FinCEN final rule regarding AML requirements for US investment advisers
On August 28, 2024, the Financial Crimes Enforcement Network ("FinCEN") issued a final rule expanding the definition of “financial institution”…
October 22, 2024
Structuring the compliance function
A well-structured compliance function is crucial for any financial institution, ensuring that it effectively meets regulatory requirements and protects its…
October 21, 2024
Regulatory Update: UK Edition – September 2024
This UK regulatory update includes – FCA published findings on oversight of Appointed Representatives, FCA update on good and poor…
October 18, 2024
Institutional investment manager short sale reporting (New SEC Rule 13f-2)
Compliance Date: January 2, 2025
October 16, 2024
Regulatory Compliance Updates September 2024 – ME Region
This edition includes – Abu Dhabi Finance Week: Top Finance Leaders to Speak at 2024 Edition, New Initiatives for Wealth…
October 11, 2024
Regulatory Compliance Updates September 2024 – APAC Region
This APAC regulatory update includes – Implementation of Reporting Requirements for Over-The-Counter (“OTC”) Derivatives Contracts, Change of Particulars for Fund…
October 10, 2024
Cyber Security Awareness Month - strengthening defenses together
With cyber threats continuing to evolve, collaboration is key to building resilient defenses against malicious actors.
September 30, 2024
Regulatory Update: UK Edition – Summer 2024
This UK regulatory update includes – FCA update on OFR developments and publication of final rules, FCA sets out final…
September 18, 2024
Navigating SEC Regulations: The Growing Importance of Mock Audits
In recent years, the number of SEC Registered Investment Adviser Firms seeking Mock Audit services from Waystone Compliance Solutions has…
September 16, 2024
Regulatory Compliance Updates August 2024 – APAC Region
This APAC regulatory update includes – Decommissioning of the Corporate E-Lodgment Portal; Consultation Paper on Proposed Amendments to Requirements for…
September 13, 2024
Regulatory Compliance Updates August 2024 – ME Region
This edition includes – DFSA Publishes Consultation Paper on Client Assets Regime, DFSA and HKMA Co-host Climate Finance Conference, 100…
September 12, 2024