Waystone Compliance Solutions

📢 The DFSA is introducing a revised Conduct Principles framework from 1 July 2026, expanding its application beyond Authorised Individuals to a broader population across firms, including front-office, control functions and certain outsourced roles.   The changes place greater emphasis not just on having frameworks in place, but on how effectively firms can demonstrate conduct, oversight and compliance in practice. This includes clearer expectations around annual fitness and propriety assessments, role accountability, and the introduction of a standalone disclosure obligation to the DFSA.   Waystone Compliance Solutions supports firms in assessing scope, strengthening governance frameworks, enhancing fitness and propriety processes and ensuring conduct arrangements are embedded and evidenced in practice.   👉 Read the full article to understand the key implications and how to prepare: https://lnkd.in/e_3xvAW9

As we move through 2026, the regulatory changes MAS introduced last year continue to shape expectations for LFAs and EFAs across Singapore. Many of these requirements are now fully in effect, and firms are actively embedding them into their advisory, governance and compliance frameworks.   To support the industry, our APAC Compliance Solutions team has put together a clear summary of the key 2025 updates and what they mean for firms today, moving forward.   A few key shifts continue to shape the landscape this year: 📘 Elevated Conduct and Suitability Standards Mandatory pre‑transaction checks, stronger vulnerable‑client safeguards, and tighter documentation expectations are now part of the core advisory process. 🛡️Strengthened AML/CFT and Cross‑border Controls Expanded CDD, PF risk assessments, and accelerated STR timelines are reshaping how firms manage financial crime risks. 📊Governance and Digital Oversight in Sharper Focus Digital advertising standards, BSC/ISA enhancements, and clearer senior management accountability are driving firms to refine internal controls and oversight.   Our team continues to work closely with firms to interpret these expectations, identify practical gaps, and implement enhancements aligned with MAS supervisory priorities. 👉 Explore the full breakdown: https://lnkd.in/gwkbrBmV

California’s DFPI has officially paused implementation of the Fair Investment Practices by Venture Capital Companies Law, putting the 2026 registration and demographic reporting requirements on hold. While this removes immediate deadlines, it also creates a meaningful window for venture capital firms to strengthen their internal readiness ahead of the upcoming rulemaking process.   Our US Compliance Solutions team has identified several important takeaways: 📌 The April 1, 2026, reporting and registration requirements are fully suspended 📌 DFPI will restart the rulemaking process later this year, including stakeholder engagement 📌 Enforcement is paused until final regulations are issued 📌 Firms can use this period to refine data‑collection, governance, and compliance workflows.   The broader direction remains unchanged. Transparency and structured reporting will return, and firms that prepare now will be well-positioned when the new framework is released. Explore the full analysis and practical guidance to understand what this pause means and how to get ahead:

Regulatory bodies across the APAC region continue to roll out changes that can shape how firms operate, manage risk, and plan ahead. 🌏 To help teams keep a clear view of the regulatory landscape, our compliance specialists have compiled February’s Regulatory Update, offering a concise overview of the latest developments influencing the region.   This month’s edition includes: 🔍 MAS clarifies Russia-related financial measures 💠 SFC introduces new framework for virtual asset dealing and shared order book participation 📘 SFC allows affiliated market makers on virtual asset trading platforms.   Together, these developments highlight evolving supervisory priorities and ongoing efforts to harmonize regulatory expectations across APAC.   🔗 Read the full summary here: https://lnkd.in/gT_txPvf

The February edition of our Middle East Regulatory Update is now available, providing an overview of the latest compliance developments shaping the region’s regulatory landscape. Featuring insights from our Middle East Compliance Solutions team, this update helps you stay ahead of industry changes and make informed decisions that align with regulatory expectations. Highlights include: ✅DFSA issues amendments to AML and GLO rulebooks ✅FSRA issues Dear SEO Letter on UAE’s Virtual Assets Travel Rule ✅FATF updates jurisdictions under increased monitoring ✅EOCN hosts two webinars on UAE PF National Risk Assessment outcomes. 🔗Read the full update: https://lnkd.in/de2qSx2x

🔍With the first round of independent BCM audits now completed, financial institutions regulated by MAS should begin preparing for the next cycle, which is due by 6 June 2027 or three years from the date of their most recent audit.   The MAS BCM Guidelines introduced a more rigorous, service‑centric approach to operational resilience, and MAS continues to increase its supervisory attention on how well these expectations are being embedded across the industry.   As institutions look ahead to the 2026 and 2027 audit cycle, several areas are expected to receive heightened scrutiny, including: 📌 Validation of critical business services 📌 Calibration and alignment of SRTOs 📌 Completeness of end-to-end dependency mapping 📌 Strength of third-party risk management.   Early preparation will be essential for reducing audit findings, demonstrating operational resilience maturity, and meeting MAS supervisory expectations.   Our compliance experts break down what FIs should expect and how to prepare effectively: https://lnkd.in/gfSqUcRF

Staying on top of evolving US regulatory developments helps firms stay prepared and make informed compliance decisions. Our February 2026 Regulatory Update brings together the month’s most important changes in a clear, easy to scan format. 📘 This edition's highlights include: 📊 FINRA proposes allowing performance projections in communications 🎁 The SEC approves updated gift limits under FINRA Rule 3220 ⚖️ The CFTC reaffirms exclusive federal authority over prediction markets.   These shifts reflect meaningful movement across communications standards, supervisory expectations, and market oversight. 🔗Read the full update to stay aligned with what’s changing: https://lnkd.in/gXb_wVF2

A strong strategic step for Waystone announced today which reflects our governance expertise and the global platform we continue to build. 

Staying ahead of regulatory change is essential for firms operating in today’s fast‑moving APAC landscape. Our latest Regulatory Update gives compliance teams a clear view of the developments shaping supervisory expectations across the region.📘   This edition’s highlights include: 🔹 MAS’ consultation on enhanced liquidity risk management for FMCs 🔹 SFC’s circular on the transition to the new STREAMS 2 AML/CFT reporting platform 🔹 SFC’s guidance to licensed corporations carrying out sponsor work.   These updates reflect the increasing regulatory focus on governance, transparency and operational resilience across APAC. 🔗 Explore the full summary to understand what these changes mean for your organisation and how to stay ahead of the curve: https://lnkd.in/gzM79gwR 

The Capital Markets Authority has published the initial English versions of its updated financial regulatory framework, indicating greater clarity for firms operating in or targeting the UAE onshore market.   Key updates include: ✅Stronger oversight and enforcement powers ✅Expanded scope of regulated activities and licensing requirements ✅Inclusion of virtual assets as regulated financial products ✅Clarification that the new rules apply to all firms targeting UAE based investors, including firms based outside UAE and those based in the UAE financial freezones   With enhanced supervisory authority and broader investor protection measures, firms should now reassess their activities, licensing structures and market approach to ensure compliance.   Waystone supports firms in navigating regulatory change with practical, commercially focused guidance across licensing, compliance and ongoing governance, helping you operate with confidence in evolving markets.   If you would like to discuss further, please reach out to Matthew Brown, Romain Amiot, Selma Coffey or Caoimhghin O'Donnell.