All the latest
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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.
May 25, 2022
SEC Exam Priorities 2022
On March 30, 2022, the SEC released its 2022 Examinations Priorities, demonstrating that with its continued increase in examinations throughout…
April 26, 2022
We are moving!
Waystone Compliance Solutions (US) Ltd. is pleased to announce that as of April 11th, 2022 our Chicago team will be…
April 11, 2022
Form ADV annual amendment 2022 – deadline fast approaching
The deadline for annual amendments to Form ADV are due by March 31, 2022.
March 24, 2022
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…
March 24, 2022
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…
February 10, 2022
Proposed amendments to Form PF
On Wednesday, the SEC released proposed amendments to the Form PF.
January 28, 2022
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…
January 21, 2022
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…
November 30, 2021
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…
November 30, 2021
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…
November 30, 2021
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…
November 30, 2021
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…
November 30, 2021
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…
November 30, 2021
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”)…
November 30, 2021
30-Day Extension for Filing Annual Reports for Certain Broker-Dealers
On February 12, the SEC extended the deadline for certain smaller broker-dealers to file their annual reports by 30 calendar…
November 30, 2021
FINRA Proposes Changes to its Private Placement Filing Requirements to Include Retail Communications
FINRA recently submitted a proposal to amend FINRA Rule 5122 ("Private Placements of Securities Issued by Members") and FINRA Rule…
November 30, 2021
SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities
The SEC recently issued a statement and request for comment regarding the custody of digital asset securities by broker-dealers in…
November 30, 2021