VENTURE CAPITAL FUND MANAGEMENT UPDATE
VENTURE CAPITAL FUND MANAGEMENT REGISTRATION

AML & KYC Compliance We assist regulated institutions with their AML and CFT obligations.Corporate Compliance Solutions We assist clients with all financial business processes, from incorporation to company secretarial services, accounting and payroll.Regulatory Compliance Audits We provide assistance with internal audits to ensure they meet best practice standards.

Compliance Training & FAQs We provide a range of corporate governance and regulatory training solutions with the provision of customised and interactive online courses.Compliance Review We help companies to evaluate the effectiveness and the compliance status of their operations by taking a risk-based review.Compliance Monitoring & Ongoing Support Our ongoing compliance support services help clients to objectively analyse whether they are meeting the specified guidelines.Compliance Policy & Procedure Solutions Compliance policy and procedure documents are the foundation of any compliance programme.

VENTURE CAPITAL FUND MANAGEMENT REGISTRATION

Licensing & Registration in Singapore Our team has a deep understanding of the rules, guidelines and processes in relation to obtaining licences and registrations.These could be as part of a regular review cycle, as a part of your risk management approach, as a result of known weaknesses in your systems and controls, or at the request of the regulator. Assurance/Independent Review Independent assurance reviews are commissioned for a number of reasons.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.Ongoing Compliance Support Our ongoing compliance support services provide you with a comprehensive set of services designed to allow you to augment your compliance arrangements in a way that aligns with your own resourcing, workload and need for deep technical expertise.Whether you are a start-up looking to become directly authorised or looking to set up business in the UK, FCA authorisation can be a difficult process to navigate. We have a 100% success rate when assisting firms to meet the regulator’s requirements. Start-Up Services We have been providing authorisation services for over 30 years, and have assisted over 1000 firms to obtain authorisation during this time.

Cyber security is becoming an increasing focal point for the SEC and all global regulators.

US Cyber Security Solutions Waystone Compliance Solutions is an ISO27001-certified consultancy dedicated to delivering the highest quality of information security and data protection advisory and support services to its clients.

Investor Dispute Investigations and Customer Complaint Review We have extensive experience in managing complex investor dispute matters and our team of compliance professionals can help to mitigate and resolve issues related to disputes within your investor base.

VENTURE CAPITAL FUND MANAGEMENT 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 Programs 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”).

Venture capital fund management