All the latest
compliance news,
articles and events
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
Biometrics and beyond - the future of identity verification
As we embark on the second quarter of 2024, our focus here shifts to a critical theme – ‘Securing Digital…
April 1, 2024
Building a robust cyber security culture in the workplace
As a former Chief Information Security Officer (CISO), I often get asked, "Why is cyber security so important?" My answer…
March 4, 2024
Form ADV submission deadline approaching: have your AI disclosures been reviewed?
Registered investment advisers (RIAs) have rapidly integrated AI into various aspects of their operations, including investment strategy, market research, portfolio…
February 28, 2024
FinCEN proposes to increase AML requirements for US investment advisers
Update: anti-money laundering (AML) program and suspicious activity report filing requirements for registered investment advisers (RIAs) and exempt reporting advisers…
February 22, 2024
Understanding cyber threats - a deep dive into common attacks
Cyber threats are everywhere in the online world, targeting individuals, businesses, and even entire critical infrastructures. Navigating this digital landscape…
February 6, 2024