US Solutions - Waystone

      US Solutions

      Our experience managing SEC, CFTC, FINRA and exchange regulatory compliance programmes gives insight into complex trading strategies and how they intersect with the regulatory environment.
      Call our US team directly at

      +1 312 724 9036

      or email them at

      compliancesolutions@waystone.com

      Our specialist professionals have spent more than 20 years in legal and regulatory roles for complex financial services organisations, serving as CCO for hedge fund, broker-dealer and market maker organisations. Our team is uniquely qualified to understand your complex business and any potential regulatory challenges.

      Cyber Security Solutions for US Board Room

      The increasing cyber security threat posed to investment advisers and funds has led to the SEC calling for boards to implement robust safeguards. This is providing a range of challenges for board members as they endeavour to manage a highly-technical subject for which they have a legal responsibility.

      SEC Registration

      For US-based hedge funds we provide high touch company registration and authorization services for both the Securities Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).

      CTA/CPO Compliance Solutions

      Our team assists organisations that carry out business as futures professionals with registration and ongoing Commodity Futures Trading Commission compliance obligations.

      Broker-Dealer Programmes

      We steer clients through the extensive, multistep process of applying for FINRA membership, including preparing your application, ensuring you have completed all required qualifications and examinations for the business as well as individuals as necessary.

      Private Equity/Venture Capital Compliance Solutions

      We provide high touch SEC registration services that guide your investment advisory practices, including providing comprehensive administrative support.

      Post Enforcement Action and Remediation

      Regulators in the US often require sanctioned advisory firms to address and resolve identified deficiencies with the help of qualified professionals. Regulators such as the SEC may identify deficiencies that advisory firms are expected to remediate, with serious consequences for advisers that do not remediate any identified issues.

      Investor Dispute Investigations and Customer Complaint Review

      We work closely with you to identify an appropriate course of action with hostile or otherwise challenging investors in order to address and re-evaluate existing policies related to such disputes.

      GIPS Compliance Solutions

      We 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.

      FINOP Services

      Waystone Compliance Solutions provides Financial and Operations Principal (“FINOP”) (Series 27 licensed principal) services to broker-dealers, allowing you to focus on your core business.