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Navigating Conflicts of Interest: DFSA and FSRA Requirements for Authorised Firms
Conflicts of interest may present a significant risk to the integrity of financial services. Both the Dubai Financial Services Authority…
May 28, 2025
Building a Compliant and Effective Whistleblowing Framework: Key Considerations for Firms
A robust whistleblowing framework is essential for firms operating under the Dubai Financial Services Authority (‘DFSA’). Ensuring your organisation complies…
May 20, 2025
Preparing for FinCEN’s New AML Rule: Why Investment Advisers Should Act Now
Effective January 1, 2026, investment advisers registered with the Securities and Exchange Commission (RIAs) and exempt reporting advisers (ERAs) will…
May 12, 2025
Global IT Issue on 19 July
On Friday, 19 July a global IT issue impacted industries around the world.
July 19, 2024
Navigating DORA compliance: A practical guide for SMEs
To address the rising threats of cyber-attacks and digital disruptions in the financial sector, the European Union has introduced the…
June 19, 2024
Shaping the Future of Cybersecurity
As digital threats continue to escalate in complexity and frequency, Waystone Compliance Solutions is spearheading cybersecurity solutions under the guidance…
May 21, 2024
Anti-greenwashing rule - not to be underestimated
At the end of 2023, the FCA published its long-awaited and delayed Policy Statement: “PS23/16 Sustainability Disclosure Requirements and investment…
April 24, 2024
Exploring FSRA Supervision Fees: Everything you need to know
The FSRA proposed amendments to its Fees Rules (“FEES”) and General Rulebook (“GEN”) to better align fees with operational costs.
April 15, 2024
FSRA proposes enhanced measures for Cyber Risk Management
On 29 November 2023, the Financial Services Regulation Authority (“FSRA”) issued Discussion Paper No. 1 of 2023 on Information Technology…
April 15, 2024
FCA Consultation Paper CP 24/7 – Payment Optionality for Investment Research
On 10 April 2024, the Financial Conduct Authority (FCA) published its Consultation Paper CP24/7: Payment Optionality for Investment Research accompanied…
April 12, 2024
Notice for Firms on the FCA’s improved Appointed Representatives regime
The FCA’s new rules for Appointed Representatives (ARs) come into force on 8 December 2022.
November 23, 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
The deadline for the Hong Kong SFC’s climate-related requirements is fast approaching
The Hong Kong Securities and Futures Commission (SFC) issued Consultation Conclusions on the Management and Disclosure of Climate-related Risks by…
August 30, 2022
Key Compliance Updates in your region - what you need to know
Waystone Compliance Solutions was launched at the start of this year and since then we have seen the global compliance…
June 29, 2022
FCA Encourages Sanctions Evasion Whistleblowing
The FCA yesterday published a webpage; setting out how individuals can report the evasion of sanctions by firms on the FCA’s various…
May 19, 2022
隆重推出 Waystone 合规解决方案
Titan Regulation、Argus Global、CCL Compliance 和 ISAS 现在均属于 Waystone 合规解决方案的组成部分。 Waystone 合规解决方案可为企业领域的合规服务开辟一条新颖而独特的道路。
January 12, 2022
Launching Waystone Compliance Solutions
Titan Regulation, Argus Global, CCL Compliance and ISAS are now Waystone Compliance Solutions.
January 12, 2022
Form Filing-New York IA Representative Registration
FINRA recently announced that effective February 1, 2021, the State of New York (NY) will begin registering Investment Adviser Representatives…
November 30, 2021