#The public company accounting oversight board update
Post Enforcement Action and Remediation We provide comprehensive remediation support services that include working closely with your advisory business to update policies and procedures relating to SEC, FINRA, CFTC and NFA actions.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.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.
FINOP Services Waystone provides Financial and Operations Principal (“FINOP”) (Series 27 licensed principal) services to broker dealers, allowing you to focus on your core business.Broker-Dealer Programmes We steer clients through the extensive, multistep process of applying for FINRA membership.Private Equity/Venture Capital We provide high touch SEC registration services that guide your investment advisory practices through all parts of Form ADV submission including a comprehensive administrative support.SEC Registration For US-based hedge funds we provide high touch registration services with both the Securities Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”).
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