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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
Securing the Internet of Things (IoT) - protecting the connected world
The rapid proliferation of Internet of Things (IoT) devices has revolutionized industries, homes and everyday life.
September 9, 2024
Personal data protection in Singapore
Overview of the Singapore Personal Data Protection Act (PDPA) The PDPA comprises various requirements governing the collection, use and disclosure…
September 8, 2024
Cyber risk management – resilience of information technology systems
In recent years, the United Arab Emirates (“UAE”) has emerged as the centre for technology and all related businesses. This,…
September 2, 2024
Payment Service Provider Licence Application – MAS issues amendments to its Guidelines
The Monetary Authority of Singapore (MAS) has published amendments to its Guidelines on Licensing for Payment Service Providers [PS –…
August 29, 2024
Achieving a culture of compliance
Employee misconduct can have far-reaching consequences for both financial firms and the broader market, leading regulators to promote a "culture…
August 14, 2024
Regulatory Compliance Updates July 2024 – APAC Region
This APAC regulatory update includes – The Guidelines on Risk Management Practices – Internal Controls – Section 3.13 on “Securitisation”;…
August 7, 2024
Regulatory Compliance Updates July 2024 – ME Region
This edition includes – DFSA Issues Dear SEO Letter on CIR Reporting Requirements, UAEFIU Publishes Updated Strategic Analysis Report, DFSA…
August 6, 2024
AI and cyber security - navigating the opportunities and challenges
As we move further into the digital age, the symbiotic relationship between artificial intelligence (AI) and cyber security has become…
August 5, 2024