SEC RegistrationFor US-based hedge funds we provide high touch registration services with both the Securities Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”).
Private Equity/Venture CapitalWe provide high touch SEC registration services that guide your investment advisory practices through all parts of Form ADV submission including a comprehensive administrative support.
Broker-Dealer ProgramsWe steer clients through the extensive, multistep process of applying for FINRA membership.
CTA/CPO Compliance SolutionsOur team assists organisations that carry out business as futures professionals with registration and ongoing Commodity Futures Trading Commission compliance obligations.
SEC Mock Audit ServicesStay ahead of regulatory requirements and safeguard your business with our trusted SEC Mock Audit Services.
Post Enforcement Action and RemediationWe provide comprehensive remediation support services that include working closely with your advisory business to update policies and procedures relating to SEC, FINRA, CFTC and NFA actions.
Investor Dispute Investigations and Customer Complaint ReviewWe have extensive experience in managing complex investor dispute matters and our team of compliance professionals can help to mitigate and resolve issues related to disputes within your investor base.
US Cyber Security Solutions Waystone Compliance Solutions is an ISO27001-certified consultancy dedicated to delivering the highest quality of information security and data protection advisory and support services to its clients. Cyber security is becoming an increasing focal point for the SEC and all global regulators.
Cybersecurity Annual Services

Start-Up Services We have been providing authorisation services for over 30 years, and have assisted over 1000 firms to obtain authorisation during this time. We have a 100% success rate when assisting firms to meet the regulator’s requirements. Whether you are a start-up looking to become directly authorised or looking to set up business in the UK, FCA authorisation can be a difficult process to navigate.
Ongoing Compliance Support Our ongoing compliance support services provide you with a comprehensive set of services designed to allow you to augment your compliance arrangements in a way that aligns with your own resourcing, workload and need for deep technical expertise.
Compliance Advisory Our experienced compliance advisory team has an exceptional track record in helping organisations understand regulatory developments and assisting them with developing controls to operate successfully while meeting regulatory requirements.
Assurance/Independent Review Independent assurance reviews are commissioned for a number of reasons. These could be as part of a regular review cycle, as a part of your risk management approach, as a result of known weaknesses in your systems and controls, or at the request of the regulator.

Cyber Security Solutions
Cyber security is becoming an increasing focal point for all global regulators. In response, we have established a dedicated cyber security solution.
Data Protection Services
We regularly undertake an analysis of an organisation’s current situation against an appropriate benchmark to assess its current status.

US Cyber Solutions

Our aim is to assist asset managers and the public and private sector to assess information security threats, identify weaknesses and implement a sustainable program of information security improvements.

Compliance Advisory

Steering firms through the complexities of financial services regulation.

Authorisation
We can help you to consider all your options before you launch any regulatory authorisation application.
UAE Outsourcing and Support
We offer our clients operating in the financial centres of the DIFC and the ADGM various outsourcing options.
UAE Compliance DocumentationWe work with you to create a comprehensive and practical suite of manuals, policies and procedures to meet the precise needs of your business.
UAE Regulatory & Compliance TrainingWe design and deliver practical, risk-based training that is focused on embedding the correct skills and behaviour within your organisation.
UAE Cyber Security Compliance Solutions We are dedicated to delivering the highest quality of information security and data protection advisory and support services to our clients.

Licensing & Registration in Singapore and Hong KongOur team has a deep understanding of the rules, guidelines and processes in relation to obtaining licences and registrations.
Compliance Policy & Procedure SolutionsCompliance policy and procedure documents are the foundation of any compliance programme.
Ongoing Compliance SupportOur ongoing compliance support services help clients to objectively analyse whether they are meeting the specified guidelines.
Compliance Policies and ProceduresWe help companies to evaluate the effectiveness and the compliance status of their operations by taking a risk-based review.
Compliance Training & FAQsWe provide a range of corporate governance and regulatory training solutions with the provision of customised and interactive online courses.
Regulatory Compliance AuditsWe provide assistance with internal audits to ensure they meet best practice standards.
Corporate Compliance SolutionsWe assist clients with all financial business processes, from incorporation to company secretarial services, accounting and payroll.
AML and KYC ComplianceWe assist regulated institutions with their AML and CFT obligations.
Risk Management SolutionsWe help organisations identify, build and streamline the necessary internal controls.
Guides & Articles Available for DownloadOur key documents to assist you in navigating the ever-changing regulatory landscape in the APAC region can be found here.

Company Registration and LicensingTo ensure a smooth application process, we advise and guide our clients on the respective licensing requirements.
Global Compliance Programmes and SupportWe ensure our clients have the correct documents at all times in order to facilitate compliance with the various applicable laws, regulations and standards.
Global Compliance AdvisoryWe assist organisations to develop controls that meet their regulatory requirements and to operate successfully within demanding regulatory regimes.
Global Compliance Risk ManagementWe help organisations to identify, build and streamline the necessary internal controls in order to implement risk management strategies.
Global Cyber & Data Protection AdvisoryWe offer our clients the strongest independent information security and data protection services globally. All our services are tailored to meet the specific needs of our clients, taking into account each client’s unique requirements, risk appetite and culture.
Compliance OutsourcingWhatever the size of your organisation, our team is here to help you review your needs and provide the outsourcing solution relevant to your requirements.
Regulatory Compliance TrainingOur training courses can be customised to meet your needs and ensure that your staff remain up to date with the latest requirements.
AML/KYC SolutionsAt Waystone, we have a dedicated Anti-Money Laundering (AML) Team with over 30 years’ experience in analysing data of corporates and individuals within the Funds and Aviation Industry to identify potential money laundering activities.
ESG SolutionsWaystone Compliance Solutions ESG Solutions team provides an advisory and analytics service designed to help investment managers to establish and enhance their ESG offering.

ESG Compliance Solutions The uniqueness of your firm means that a tailored approach is needed to ensure that you can meet the requirements of regulators and the expectations of investors.
Governance SolutionsOur comprehensive suite of tools and expertise enables firms to navigate the evolving ESG landscape, make informed decisions, and drive sustainable growth.
Portfolio Monitoring/Reporting SolutionsESG Portfolio Monitoring Service will allow you to assess the characteristics of a fund’s holdings along ESG criteria.

All the latest
compliance news,
articles and events

Biometrics and beyond - the future of identity verification - Waystone

Cyber & Data Protection Updates

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

Cyber & Data Protection Updates

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

SEC Releases Proposed Rules for ESG Funds

SEC Releases Proposed Rules for ESG Funds

May 27, 2022