CityWire reports that regulators are continuing to take action against financial services providers with inadequate or poorly implemented risk management and compliance programmes, reinforcing the importance of aligning frameworks with actual business risk. The shift toward a risk-based approach under FICA requires firms to move beyond generic templates and develop ...
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Recent commentary highlights that some of the most significant corporate failures are rarely the result of a single misstep, but rather the outcome of sustained weaknesses in governance, culture and oversight. Corporate Compliance Insights reports that well-known collapses such as Blockbuster, Washington Mutual and Theranos illustrate a consistent pattern where ...
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By Lee Rossini
As financial planners approach retirement, succession planning should be a strategic decision rather than a last-minute event. Industry trends show many planners nearing retirement age, expect their business to change hands in the next decade. A well-structured succession plan ensures business continuity, protects client relationships, and maximises business value. Several options are available, each with advantages and disadvantages:
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