All the latest
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Regulatory Update August 2026 – US Region
This edition includes – SEC Establishes New Financial Reporting and Accounting Unit to Strengthen Enforcement Efforts, FinCEN Permanently Eliminates Beneficial…
September 3, 2026
What SEC Examiners Are Looking For: Lessons from the SEC's New York Regional CCO Outreach Program
For many advisers, an SEC examination can feel like a high-stakes event. However, recent comments from SEC examination and enforcement…
September 1, 2026
Transitioning Your Compliance Consulting Firm: A Practical Guide for RIAs
A practical guide to help RIAs evaluate whether their compliance support model remains aligned with the evolving needs of their…
August 11, 2026
Regulatory Update July 2026 – US Region
This edition includes – SEC Publishes 2026 Regulatory Agenda, SEC Proposes New E-Delivery Framework for Investor Communications. SEC Updates Municipal…
August 5, 2026
Regulatory Update June 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…
July 1, 2026
Regulatory Update May 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…
June 9, 2026
Preparing for the 2026 Qualified Client Threshold Increase: Why Advisers Are Acting Now
The Securities and Exchange Commission’s (SEC’s) June 29, 2026, increase to the “qualified client” thresholds under Rule 205 3 is…
May 20, 2026
Regulatory Update April 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…
May 6, 2026
SEC Proposes Amendments to Form PF Reporting Requirements: Next Steps for Advisers
On April 20, 2026, the Securities and Exchange Commission (SEC), together with the Commodity Futures Trading Commission (CFTC), issued a…
April 22, 2026
Regulatory Update March 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…
April 8, 2026
California DFPI Pauses FIPVCC Implementation: Updated Regulatory Outlook for Venture Capital Firms
The California Department of Financial Protection and Innovation (“DFPI”) has formally suspended implementation and enforcement of the Fair Investment Practices…
March 20, 2026
Regulatory Update February 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…
March 5, 2026
California Venture Capital Diversity Reporting 2026: Compliance Guide for Venture Capital Firms
California has introduced a new regulatory framework for venture capital (VC) diversity and inclusion reporting that will significantly reshape demographic…
February 19, 2026
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 US Securities and Exchange Commission’s (SEC’s) Division of Examinations held a detailed outreach session to…
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