All the latest
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Singapore - Terrorism Financing National Risk Assessment 2020
In 2020, Singapore conducted a Terrorism Financing (TF) National Risk Assessment (NRA). The TF NRA was the culmination of knowledge…
November 3, 2022
Regulatory Compliance Updates October 2022 – APAC Region
To learn more about these changes, contact our APAC Compliance Solutions team today. 31 October 2022 - ID 14/22 Mitigating…
November 2, 2022
Cybersecurity Awareness Month – a focus for asset managers
Cybersecurity Awareness Month occurs each October and is a collaboration between government and private industry, designed to promote the importance…
October 26, 2022
Regulatory Update: UK Edition – September 2022
This UK regulatory update edition includes – FCA’s speech on what firms can expect from the Consumer Duty, ESMA revises…
October 26, 2022
Regulatory Compliance Updates September 2022 – APAC Region
If you have any questions about the below updates, please reach out to our APAC compliance team for more information.…
October 17, 2022
Are you prepared for the FCA's new Consumer Duty?
The FCA’s Consumer Duty Implementation Plan deadline of 31 October 2022 is fast approaching.
October 14, 2022
eComms compliance – the SEC continues its scrutiny and issues substantial fines
In September 2021, the SEC began its focus on how banks were monitoring, archiving and safeguarding business-related eComms being undertaken…
October 13, 2022
What role should NEDs play in cybersecurity?
Waystone Compliance Solutions’ Chief Information Security Officer, Conor Flynn, was recently featured in an Assured article where he provided insight…
October 13, 2022
Regulatory Update: Middle East Edition – September 2022
This edition includes - DFSA publish Cyber Thematic Review Report, Virtual asset guiding principles published by FSRA, FSRA enhances capital…
October 10, 2022
SEC Marketing Rule Update: Approaching Deadline of 4 November 2022
The deadline for compliance with the SEC’s new investment adviser Marketing Rule is November 4, allowing just one month for…
October 4, 2022
Building your cyber security foundation
At Waystone Cyber Security Solutions we believe that as you grow your firm it should be built on a strong…
September 28, 2022
Enhancing Anti Money Laundering and Countering the Financing of Terrorism (AML/CFT) controls within the VCC sector
The VCC regime was launched in Singapore in January 2020, and in 2021, MAS conducted an industry-wide survey of VCCs,…
September 27, 2022
CFTC charges five entities for failing to register as FCMs
The CFTC announced that it has filed charges against five entities for operating as unregistered futures commission merchants (FCM).
September 26, 2022
SEC Fines Firm $35 Million for Failure to Protect Client Data
On September 20, 2022, the U.S. Securities and Exchange Commission (“SEC”) fined Morgan Stanley Smith Barney for their purported failure…
September 22, 2022
Securing sensitive employee data – recommended HR policies and procedures
The onboarding and offboarding of employees is not a subject that we often think about in terms of information security.…
September 22, 2022
Regulatory Update: Middle East Edition – August 2022
This edition includes - ADGM Registration Authority publishes priorities for 2022-2023, VARA issues regulations governing virtual assets marketing and DIFC…
September 13, 2022
It is with sadness that we mark the passing of Her Majesty The Queen
Following the passing of Her Majesty Queen Elizabeth II, we reflect on her remarkable reign and her dedication to a…
September 9, 2022
Regulatory Compliance Updates August 2022 – APAC Region
31 August 2022 - MAS imposes composition penalty of $375,000 on UOB Kay Hian Private Limited for business conduct and…
September 8, 2022