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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
The Private Fund Adviser Rule has been vacated in full
The US Court of Appeals for the Fifth Circuit vacated the SEC's Private Fund Adviser Rule in its entirety on…
June 5, 2024
Why cyber due diligence is crucial for investors
Investors in the financial services sector are increasingly demanding a deep dive into a company’s cyber posture.
June 3, 2024
Securing the remote workforce: cyber hygiene for the digital nomad
As more people work outside of the traditional office settings, robust cyber hygiene practices are essential to safeguard sensitive data.
June 3, 2024
Data privacy in the digital age - best practices for individuals and businesses
Our digital lives are constantly evolving, and with them, the question of data privacy. In an age where information is…
May 1, 2024