Navigate Institutional Capital Raising & Build an Enduring Venture Firm

CEO of Waystone Compliance Solutions, Julie Dixon, was featured as a panelist on a Carta webinar to discuss how fund…
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SEC Releases Proposed Rules for ESG Funds

SEC Releases Proposed Rules for ESG Funds
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Waystone Compliance Solutions Launch

Waystone and our guests gathered to celebrate the launch of Waystone Compliance Solutions in New York City.
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SEC Exam Priorities 2022

On March 30, 2022, the SEC released its 2022 Examinations Priorities, demonstrating that with its continued increase in examinations throughout…
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We are moving!

Waystone Compliance Solutions (US) Ltd. is pleased to announce that as of April 11th, 2022 our Chicago team will be…
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13H Large Trader Filing
– Deadline Fast Approaching

Please be advised that any amendments for changes that occurred on your 13H Large Trader filing during the first quarter…
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Form ADV annual amendment 2022 – deadline fast approaching

The deadline for annual amendments to Form ADV are due by March 31, 2022.
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SEC Releases Proposed Disclosures Rules

On March 21st, the SEC released details of its much-anticipated proposal for climate disclosures. The proposal would require domestic and…
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SEC proposes cyber security risk management rules and amendments for registered investment advisers and funds

On February 9th, the SEC voted to propose rules related to cybersecurity risk management for registered investment advisers, and registered…
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Proposed amendments to Form PF

On Wednesday, the SEC released proposed amendments to the Form PF.
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Form PF 2022 - Deadline fast approaching

Waystone is once again pleased to offer our services to SEC registered investment advisers subject to the annual, part 1…
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Consolidated audit proposed funding model

The comment period on a revised funding model (“Proposed Funding Model”) for the consolidated audit trail (“CAT”) recently closed. The…
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SEC Division of Examination’s review of ESG investing

The SEC recently issued a Risk Alert that highlights observations from recent exams of investment advisers, registered investment companies, and…
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The SEC recently approved its market data infrastructure proposal

The SEC recently approved its market data infrastructure proposal. Earlier this year, the SEC introduced its proposal to modernize the…
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SEC Commissioner Hester Peirce's call for clearer guidance on digital assets and custody

SEC Commissioner Hester Peirce, speaking at the British Blockchain Association Conference, recently advocated for the SEC to provide more clarity…
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U.S. House FSC releases memo regarding "Meme Stocks"

Last week the U.S. House Financial Services Committee considered reform recommendations from industry experts’ testimonies regarding the trading volatility in…
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SEC Adopts Rules to Modernize Key Market Infrastructure

The SEC recently approved its market data infrastructure proposal. Earlier this year, the SEC introduced its proposal to modernize the…
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OCIE Risk Alert - Large Trader Obligations

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently issued a Risk Alert concerning SEC-registered investment advisers (“investment advisers”)…
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