US Compliance Solutions - Waystone

      US Compliance 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

      Contact us

      here

      Our US Compliance Services team has 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:

      • Chicago, San Francisco & New York operations
      • 250 clients (0 enforcement actions)
      • 10-year retainer programme history

      Keep up with the ever-evolving US regulatory landscape

      Our team follows the evolving regulatory landscape for you. In the post-financial crisis world, rules and regulations governing financial services firms have evolved so quickly that it is often difficult for firms to keep up. We do this for you and ensure that your US compliance program remains current in an ever-shifting regulatory landscape.

      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.

      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.

      Regulatory Calendar 2023

      Keep pace with the ever-changing regulatory landscape using our US regulatory deadlines calendar.