Compliance Advisory
Our experienced compliance advisory team has an exceptional track record in helping organisations understand regulatory developments and assisting them with developing controls to operate successfully while meeting regulatory requirements.
The financial services industry continues to experience waves of significant regulatory change. This makes it challenging for organisations to digest new regulation, design and implement controls to manage the changing landscape, and continue to provide assurance to senior management and regulators that the controls are robust and effective. We don’t provide a ‘one size fits all’ solution. We take the time to understand your business, along with your needs and objectives, to ensure that we provide you with sensible, efficient and effective solutions to managing regulatory risk. Our compliance professionals offer technical insight and draw on an in-depth knowledge of peer-group best practices.
Our compliance advisory services include:
- Prudential rules and regulations
- Financial crime
- Market abuse
- CASS
- ESG
- Consumer duty
- Governance (SM&CR)
- M&A regulatory due diligence
- Regulatory interaction
- VOP/Change in Control
- Regulatory visits and requests
- Mock FCA interviews
- Compliance and risk management framework
- Cyber security and data protection
Prudential rules and regulations
Financial reporting rules are complex and apply across the board, from the largest global institutions to the sole trader. For smaller companies it can be difficult to keep up with the nuances of regulatory reporting.
Financial Crime
As a result of FATF’s 40 recommendations, in recent years, governments around the world have been busy enhancing legislation, regulation, and oversight to combat money laundering and terrorist financing.
Market Abuse
Market Conduct has always been consistently high on the FCA’s agenda and it covers a broad range of areas from market manipulation, insider dealing, information barriers, personal account dealing, market surveillance to financial crime.
Discover moreClient Money & Assets (CASS) Solutions
CASS, or the Client Asset Sourcebook, is a set of rules set out by the FCA that firms holding and administering client money and assets must follow.
ESG
Our ESG advisory service is designed to provide investment managers with the tools they need to navigate the fast-evolving regulatory and legislative ESG landscape.
Discover moreConsumer Duty
Our consultants can help you with the implementation of the Consumer Duty within your firm whether you are a distributor, manufacturer or part of the distribution chain.
Discover moreGovernance (SM&CR)
Shareholders and other company stakeholders expect good governance practices as a minimum requirement. Through the history of corporate and regulatory failures, weaknesses in corporate governance are ever-present.
M&A regulatory due diligence
We support firms on both the buy and sell sides in M&A processes relating to target companies operating in the global financial services sector.
Discover moreRegulatory interaction
Waystone is here to support you as your business evolves, whether that is new business activities or changes in company ownership.
Discover moreCompliance and risk management framework
Failure to identify and manage risk is often the root cause of major failures of both financial institutions and sectors of the financial services markets.