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Waystone are delighted to share with you its up to date pod cast sessions. Please subscribe to listen to our latest interviews, team spotlights and updates to the global regulatory landscape and how Waystone can help.
55 Episodes
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Curious about setting up a business or growing in the UK? In partnership with AIMA, please join us for a comprehensive session where we delve into the key reasons and practical strategies for setting up and growing your business in the UK.Whether you’re a budding entrepreneur or an established business looking to expand, this session aims to equip you with the knowledge and insights needed to navigate the process successfully.
Our team of experts delve into the world of Exchange-Traded Funds (ETFs) and discusses the findings of the comprehensive report by Oliver Wyman commissioned by Waystone, titled "The Renaissance of ETFs."The panel examines the growth trends of the ETF industry as well as the factors driving its rapid expansion.
Stay informed about the latest regulatory updates and their potential impact on your business. Our expert panel discusses the recent developments in Cayman’s private fund governance landscape, providing valuable insights into what these changes entail and how they may affect your operations. Additionally, we delve into the potential risks associated with non-compliance, ensuring you are well-equipped to navigate the evolving regulatory environment effectively.Don’t miss this opportunity to gain crucial knowledge and practical guidance from industry specialists, as we strive to provide you with the necessary knowledge to navigate the compliance landscape and ensure your business’s continued success.
Are you considering getting authorised in the UK? This webinar focuses on US investment firms that are thinking of setting up in the UK and so will need authorisation by the Financial Conduct Authority. Waystone walks through the FCA authorisation process, the requirements, the challenges and the strategies that make for a successful application.This discussion was led by Stuart Holman, one of Waystone’s Managing Directors, who, along with his team, has 25 years’ experience assisting firms to obtain authorisation. Listen to learn practical information and advice on how to prepare a successful application for authorisation.
A discussion regarding how the proposed cyber rules will impact your advisory business.The SEC has proposed cyber security rules impacting investment advisory businesses. The proposed rules would require investment advisers to implement a comprehensive cyber security program, including policies and procedures to identify, assess and mitigate cyber security risks.This webinar covers the key requirements, implementing a cyber security program and incident reporting to the SEC. This discussion is led by a panel of experienced experts in cyber security and investment advisory compliance.
Understanding what is required by CIMA and the DITC can help mitigate adverse regulatory inspection outcomes.Our subject matter experts breakdown which internal controls are applicable to the SIB registered managers, how to test the controls, identify what policies and procedure are required and summarise the best practices to ensure compliance with the CIMA rules and guidance notes.
If your firm is considering becoming directly authorised by the FCA during 2023, listen to our virtual FCA authorisation clinic. The clinic focused on firms that operate within the wholesale investment business market and was aimed at firms that are currently operating under the umbrella of an appointed representative arrangement that are interested in obtaining direct authorisation.
For managers marketing funds across multiple jurisdictions, it can be a challenge to navigate the needs of different regulators and investors. In this podcast, our international and cross-jurisdictional panel of ESG experts will provide insights regarding regulatory and investor priorities in 2023.
In this podcast, our experts discuss the latest developments and current trends on AML regulations for investment funds and bring insights from a wide range of perspectives including administrators, AML officers and auditors.
The Cayman Tax Information Authority (TIA) recently released its CRS enforcement guidelines outlining the circumstances under which financial institutions could face penalties for failing to comply with the Common Reporting Standard (CRS).It also outlined the process by which financial institutions would be notified of penalties, and the notice and appeals process by which they may contest penalty imposition. Listen to find out more about the latest enforcement guidelines and the latest updates in relation to FATCA and CRS from our in-house experts.
The Cayman Tax Information Authority (TIA) recently released its CRS enforcement guidelines outlining the circumstances under which financial institutions could face penalties for failing to comply with the Common Reporting Standard (CRS).It also outlined the process by which financial institutions would be notified of penalties, and the notice and appeals process by which they may contest penalty imposition. Find out more about the latest enforcement guidelines and the latest updates in relation to FATCA and CRS from our in-house experts.Moderator:Elaine ChowPanelists:Roman IpflingMichelle Chan
Waystone is proud signatories of the UN PRI and were delighted to be partnering with the UN PRI for a webinar where the UN PRI provided a brief presentation of the principles and what is expected from signatories to the PRI.The presentation is followed by a discussion around the practical implication of incorporating responsible investing across a range of strategies, investor priorities and the evolving regulatory landscape.
Please join Suzanna Ballabás, Senior Advisor and Head of Data Protection UAE, together with Sayid Madar, Head of Operations for the Office of the Data Protection Commissioner and Lori Baker, VP, Legal and Director of Data Protection, Office of the Commissioner of Data Protection as they discussed data protection developments in the Middle East, who it applies to, how to comply and the more complex matters of data transfer.
Join Waystone’s Neil Coxhead and Robin Callander, together with Lora Froud of MacFarlanes and Peter Ball of Bishop Fleming as they discussed a range of topics including:investment options and structuringtax profiling of family investment fundscreation of a single-family counselthe role of the Authorised Corporate Director (ACD) and the importance of the Assessment of Value reporting to families.
Our experts provide an overview of evolving regulatory landscape in relation to AML/KYC as well as discussing the latest industry trends and practices for Asia based managers to best adhere with global and local standards through digital onboarding and outsourcing.
Find out what has been happening in the fund governance space for Cayman registered funds. What are the latest regulatory implications that might impact your next fund launch and what are the current trends our independent directors are seeing that might affect your portfolio.
1On 9 February 2022, the SEC voted to propose rules related to cyber security risk management for registered investment advisers and registered investment companies in a clear signal that firms who are not prepared to address cybersecurity risks will need to take action.
On 9 February 2022, the SEC proposed five new rules and amendments intended to enhance the regulation of private fund advisers that could have a material impact on registered and unregistered investment managers.
Please join Waystone and our colleague at Titan, a Waystone Group Company as they review what late stage venture capital funds should consider when registering with the SEC when becoming an RIA, how to prepare for SEC examinations and what operational considerations need to be taken into account.
Waystone and its colleagues at CCL Compliance, a Waystone Group Company, review the UK Investment Firm Prudential Regime (IFPR) which will come into effect on January 1, 2022. This will have a significant impact on UK MiFID investment firms who are authorised and regulated by the FCA that are currently subject to any part of the Capital Requirements Directive (CRD) and the Capital Requirements Regulation (CRR) including Investment Firms that are currently subject to BIPRU and GENPRU including:Matched Principal FirmsFirms conducting combination of MiFID with UCITS & AIFMD activities categorised as CPMIs (Collective Portfolio Management Investment Firms)Firms currently authorised as Exempt-CAD firmsFull scope’, ‘limited activity’ and ‘limited licence’ investment firms currently subject to IFPRU and CRR (MTF & OTF)Listen to our prudential specialist to help you simplify and navigate these requirements, as well as providing advice on what analysis required to address them.
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