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Regulatory Update January 2026 – US Region
Stay informed with our Regulatory Update Navigate the ever-evolving regulatory landscape with Waystone’s Regulatory Update. Our team of compliance experts…
February 4, 2026
Preparing for Regulation S-P Exams in 2026: SEC Priorities and Key Takeaways from the January 2026 Outreach Session
On January 22, 2026, the SEC’s Division of Examinations held a detailed outreach session to highlight expectations under the amended…
January 29, 2026
CFTC Issues Interim No-Action Relief for Certain SEC-Registered CPOs and CTAs
On December 19, 2025, the Commodity Futures Trading Commission (“CFTC”)’s Market Participants Division (“MPD”) issued CFTC Letter No. 25-50, granting…
January 27, 2026
Regulatory Update December 2025 – US Region
Stay informed with our Regulatory Update Navigate the ever-evolving regulatory landscape with Waystone’s Regulatory Update. Our team of compliance experts…
January 7, 2026
SEC Issues New Risk Alert on Marketing Rule Compliance: Key Findings for Investment Advisers
On December 16, 2025, the SEC Division of Examinations issued a Risk Alert, “Additional Observations Regarding Advisers’ Compliance with the…
December 22, 2025
SEC Grants Temporary Relief for Rule 13f-2 and Form SHO
On December 3, 2025, the Securities and Exchange Commission (SEC) issued an order granting temporary exemptive relief from compliance with…
December 8, 2025
Regulatory Update November 2025 – US Region: SEC 2026 Examination Priorities in Focus
FINRA Annual Renewal Timeline and Action Steps and SEC Division of Examinations has published its 2026 Examination Priorities.
December 5, 2025
Regulatory Update October 2025 – US Region
Stay informed with our Regulatory Update Navigate the ever-evolving regulatory landscape with Waystone’s Regulatory Update. Our team of compliance experts…
November 6, 2025
Regulatory Update September 2025 – US Region
This US Regulatory Update includes SEC unveils 2025 agenda focused on innovation and oversight, Nasdaq proposes rule to enable trading…
October 14, 2025
SEC Operations Paused Amid Government Shutdown: A Strategic Moment for Compliance Readiness
As the federal government shutdown continues in the US, the Securities and Exchange Commission (SEC) has suspended most of its…
October 8, 2025
Strengthening Your Compliance Program Through Effective Annual Compliance Reviews Under Rule 206(4)-7
The Investment Advisers Act of 1940 was created to put investors first, ensuring that Registered Investment Advisers (RIAs) act with…
October 2, 2025
Regulatory Update August 2025 – US Region
This US regulatory updates includes SEC launches artificial intelligence task force, executive order expands retirement access to alternative assets, updated…
September 22, 2025
Regulatory Update July 2025 – US Region
July 2025 saw significant regulatory activity across multiple agencies, with a common theme of reducing unnecessary burdens while balancing investor…
August 20, 2025
Regulatory Update June 2025 – US Region
This US regulatory updates includes SEC resumes registrations of Swiss-based investment advisers, SEC and CFTC extend Form PF compliance deadline,…
July 29, 2025
Regulatory Update May 2025 – US Region
Stay informed with our Regulatory Update Navigate the ever-evolving regulatory landscape with our Regulatory Update. Our team of compliance experts…
June 24, 2025
BE-180 Benchmark Survey – Deadline Fast Approaching
Every five years, the Bureau of Economic Analysis (BEA) conducts the BE-180 Benchmark Survey, the most comprehensive survey of US…
June 17, 2025
Regulation S-P Amendments are Here
The US Securities and Exchange Commission (SEC) has finalized significant amendments to Regulation S-P (Reg S-P), which governs how financial…
June 9, 2025
Regulatory Update April 2025 – US Region
This US Regulatory Update includes Amendments to Form PF, Extension to Form N-PORT, New Co-Investment Relief for BDCs and CEFs.
May 27, 2025