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Corporate Transparency Act – Important Revisions
The Corporate Transparency Act (CTA) requires certain entities (known as "Reporting Companies") to report Beneficial Ownership Information (BOI) to the…
April 15, 2025
Key Takeaways from the SEC Roundtable on Artificial Intelligence in the Financial Industry
On March 27, 2025, the Securities and Exchange Commission (SEC) convened a roundtable at its Washington, D.C. headquarters to address…
April 7, 2025
Cloud Migration Security: Best Practices and Pitfalls
As businesses increasingly shift their operations to the cloud, the promise of scalability, flexibility, and cost efficiency is hard to…
April 2, 2025
Marketing Compliance: SEC Updates to FAQs
On March 19, 2025, the SEC’s Division of Investment Management released new FAQs addressing the Marketing Rule, specifically clarifying how…
March 20, 2025
SEC 2025 Exam Priorities for Investment Advisers
The US Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) published its annual examination priorities (“Priorities”) for the…
March 14, 2025
SEC Introduces Cyber and Emerging Technologies Unit
The US Securities and Exchange Commission (SEC) has launched the Cyber and Emerging Technologies Unit (CETU) as of February 20,…
March 10, 2025
The Human Factor in Cyber Security: Understanding the Impact of Human Error
When discussing cyber security, many focus on firewalls, encryption and cutting-edge technologies. However, the greatest vulnerability in most organizations isn’t…
February 25, 2025
Compliance Alert: SEC Extends Form PF Amendments Compliance Date
On January 29, 2025, the Securities and Exchange Commission (“SEC”), together with the Commodity Futures Trading Commission (“CFTC”), announced an…
February 3, 2025
The Evolution of Cyber Threats: Preparing for 2025’s Security Challenges
Welcome to 2025! As we settle into the new year, it's crucial to take stock of the ever-evolving cyber security…
January 13, 2025
ESMA sets Guidelines for ESG and Sustainability-Related Fund Names
The European Securities and Markets Authority (“ESMA”) has issued guidelines on funds’ names using Environmental, Social and Governance ("ESG") or…
December 11, 2024
FINRA renewal reminder
Firms are required to renew their Financial Industry Regulatory Authority (FINRA) registrations on an annual basis, beginning in the fourth…
November 22, 2024
Corporate Transparency Act
The Corporate Transparency Act (CTA) requires certain entities (known as "Reporting Companies") to report Beneficial Ownership Information (BOI) to FinCEN,…
November 19, 2024
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
NFA Compliance Rule 2-52: NFA Member Questionnaire requirements
Effective Date: October 15, 2024
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
Institutional investment manager short sale reporting (New SEC Rule 13f-2)
Compliance Date: January 2, 2025
October 16, 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