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.

CFTC Division of Enforcement Issues Annual Report

November 30, 2021

The CFTC’s Division of Enforcement recently issued its annual report for Fiscal Year 2020. A few of the highlights include that in 2020 the division brought:

the most enforcement actions filed in CFTC history (113)
cases that totaled $1.3 billion in monetary relief ordered—the fourth highest total in CFTC history
a case resulting in the largest monetary relief ordered in CFTC history ($920 million)
the most retail fraud actions (56) in a single fiscal year in CFTC history
a total of 16 actions filed in parallel with federal criminal authorities

The full report has breakdown of the cases by category shows that the enforcement program has targeted some of the most harmful forms of market misconduct and includes links to each case. In fact, about 65% of the matters filed in FY 2020 involved commodity fraud, manipulative conduct, false reporting, or spoofing. The report is an interesting read and shows the agency’s commitment to its strategic goal of being tough on those who break the rules.

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