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  • US Solutions
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  • Middle East Solutions
  • APAC Solutions
  • 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 ProgrammesWe steer clients through the extensive, multistep process of applying for FINRA membership.
  • FINOP ServicesWaystone provides Financial and Operations Principal (“FINOP”) (Series 27 licensed principal) services to broker dealers, allowing you to focus on your core business.
  • CTA/CPO Compliance SolutionsOur team assists organisations that carry out business as futures professionals with registration and ongoing Commodity Futures Trading Commission compliance obligations.
  • GIPS Compliance SolutionsWe work closely with advisers to assess whether the organisation has complied with all composite construction requirements of the Global Investment Performance Standards (GIPS ®) on a company-wide basis.
  • 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
    • Cybersecurity Annual Services
    • Cyber Security Solutions for US Board Room
    • Cyber Security Advisor
    • Cyber Security Remediation & Testing
Compliance Advisory

We have an exceptional track record in helping organisations to understand regulatory developments and assisting them with developing controls to operate successfully while meeting regulatory requirements.

  • Assurance Reviews
  • Compliance Remediation
  • Compliance Support
  • Documentation
  • Financial Crime Prevention
  • Corporate Governance
  • Risk Management Framework
  • FCA Authorisation

    We manage your regulatory application to the UK’s Financial Conduct Authority (FCA) by setting out a project plan, guiding you through the process and keeping you up to date on all stages, including, preparation, filing and ongoing conduct of the application.

    • Variation of permission (VoP)
    • Regulatory Technology
  • Prudential Rules and Regulatory Reporting

    Financial reporting rules are complex and apply across the board, from the largest global institutions to the sole trader.

    • The Capital Requirements Directive IV (CRD IV)
    • Financial Reporting (FINREP)
    • Client Money and Assets (CASS)
  • Internal Audit Co-SourcingWe can help you to deliver your internal audit programme with quality and insight.
  • Compliance Training SolutionsTailored governance, risk and compliance training.
  • AML, CTF and Sanctions Compliance As a result of FATF’s 40 recommendations in recent years, governments around the world enhanced legislation, regulation, and oversight to combat money laundering and terrorist financing.
  • 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.

    • Cyber Security Solutions for the European Board Room
    • US Cyber Security Solutions
    • Specialist Services
  • Data Protection Services

    We regularly undertake an analysis of an organisation’s current situation against an appropriate benchmark to assess its current status.

    • Data Protection Board Support
    • ICT Security
    • Personal Data Protection
    • Gap Analysis
    • Assessments
    • Training and Awareness
    • Outsourced Role
    • EU Representative
    • UK Representative

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.

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Compliance Advisory

Steering firms through the complexities of financial services regulation.

  • Assurance Reviews
  • Compliance Remediation
  • Data Protection
  • Financial Crime Prevention
  • Corporate Governance
  • Risk Management
  • Prudential Rules & Regulatory Reporting
  • Virtual Compliance Clinic
  • Middle East Regulatory Dates 2023
  • Authorisation

    We can help you to consider all your options before you launch any regulatory authorisation application.

    • ADGM
    • DIFC
    • Central Bank of the UAE
    • Securities & Commodities Authority
  • UAE Outsourcing and Support

    We offer our clients operating in the financial centres of the DIFC and the ADGM various outsourcing options.

    • Independent Non-Executive Director
    • Outsourced Compliance Officer & MLRO
    • Outsourced Finance Officer
    • Outsourced Data Protection Officer
    • Compliance outsourcing & in-house Compliance Officer
    • Selecting your Compliance Consultant
  • 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.
  • Guides and Articles Available for DownloadOur key documents to assist you in navigating the ever-changing regulatory landscape in the Middle East can be found here.
  • Licensing & Registration in SingaporeOur 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.
  • Compliance Monitoring & Ongoing SupportOur ongoing compliance support services help clients to objectively analyse whether they are meeting the specified guidelines.
  • Compliance ReviewWe help companies to evaluate the effectiveness and the compliance status of their operations by taking a risk-based review.
  • Compliance TrainingWe 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 & KYC ComplianceWe assist regulated institutions with their AML and CFT obligations.
  • Risk Management SolutionsWe help organisations identify, build and streamline the necessary internal controls.
  • Compliance FAQsWe have provided these FAQs based on queries received from our clients and prospective clients.
  • 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.
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      Waystone Management (UK) Limited is regulated by the Financial Conduct Authority (ref 429093), Waystone Capital Solutions (UK) Limited is regulated by the Financial Conduct Authority (ref 554229), Waystone Asset Management (IE) Limited is regulated by the Central Bank of Ireland (ref C39544), and registered as a Commodity Trading Advisor (CTA), Commodity Pool Operator (CPO) and Introducing Broker with the National Futures Association (NFA) (ref 0359548), Waystone Management Company (IE) Limited is regulated by the Central Bank of Ireland (ref C123529), Waystone Fund Management (IE) Limited is regulated by the Central Bank of Ireland (ref C136938), Waystone Investment Management (IE) Limited is regulated by the Central Bank of Ireland (ref C1011), Waystone Corporate Services (Lux) SA is regulated by the Commission de Surveillance du Secteur Financier (CSSF) (ref P00000739), Waystone Management Company (Lux) S.A. is regulated by the Commission de Surveillance du Secteur Financier (CSSF) (ref A00000395 & S00000734), Waystone Fund Services (Switzerland) SA is regulated by the Swiss Financial Market Supervisory Authority (FINMA), Waystone Governance Ltd is regulated by the Cayman Islands Monetary Authority (CIMA) (ref 91), Waystone Asset Management (Cayman) Ltd is regulated by the Cayman Islands Monetary Authority (CIMA) (ref 1589195), Waystone Corporate Services (Cayman) Ltd is regulated by the Cayman Islands Monetary Authority (CIMA) (ref 128).

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