All the latest
compliance news,
articles and events
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
SEC 2024 Exam Priorities for Private Fund Advisers
SEC registered investment advisers will face the biggest changes
November 30, 2023
Headlines from the SEC’s Private Fund Adviser Reforms
SEC registered investment advisers will face the biggest changes
October 2, 2023
What Exempt Reporting Advisers need to know about the Private Funds Adviser Rule
SEC Private Fund Adviser Compliance Requirements
October 2, 2023
SEC Releases Private Fund Adviser Reforms
On Wednesday, August 23, The US Securities and Exchange Commission (SEC) voted to adopt final amendments to the Investment Advisers Act…
August 24, 2023
SEC Charges 11 Firms with Widespread Recordkeeping Failures
Firms admit to wrongdoing and agree to pay penalties totaling $289 million
August 9, 2023
Information Security and ESG Identified as Key SEC 2023 Exam Priorities
On February 7, 2023, the SEC released its 2023 Examinations Priorities.
February 8, 2023
SEC releases updated Marketing Rule FAQs
On January 11th, 2023, the SEC released an FAQ with responses to questions related to the adoption of amendments to…
January 16, 2023
SEC Marketing Rule Update: Approaching Deadline of 4 November 2022
The deadline for compliance with the SEC’s new investment adviser Marketing Rule is November 4, allowing just one month for…
October 4, 2022
CFTC charges five entities for failing to register as FCMs
The CFTC announced that it has filed charges against five entities for operating as unregistered futures commission merchants (FCM).
September 26, 2022
Is an outsourced CCO appropriate for your organization?
Waystone Compliance Solutions provides outsourced CCO services to clients in the asset management and finance industry. As a truly global…
July 26, 2022
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 second quarter…
July 6, 2022
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…
June 15, 2022
May 27, 2022