Waystone’s FCA Authorisation Clinic

Join Waystone and Aurifer for an insightful discussion where they will delve into the latest financial regulatory and tax updates impacting Financial services businesses in the UAE.

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.