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…
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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…
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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…
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Global IT Issue on 19 July

On Friday, 19 July a global IT issue impacted industries around the world.
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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…
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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…
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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…
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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.
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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…
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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…
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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.
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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…
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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…
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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…
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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…
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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。
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Launching Waystone Compliance Solutions

Titan Regulation, Argus Global, CCL Compliance and ISAS are now Waystone Compliance Solutions.
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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…
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