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Headline Issue Diary Date
Cases against big UK firms hit seven-year low 92 CompliNEWS 30 Sep 2019
Competition Commission recommendations NHI-oriented 92 CompliNEWS 30 Sep 2019
Compliance deadline pushed out in respect of premium collection by intermediaries 92 CompliNEWS 30 Sep 2019
UK's FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales 92 CompliNEWS 30 Sep 2019
Hong Kong's SFC reprimands and fines HSBC $2.1 million for breaching telephone recording requirements 92 CompliNEWS 30 Sep 2019
Managing director of Australian financial group banned from providing financial advice for three years 92 CompliNEWS 30 Sep 2019
UK regulator urges consumers to carefully consider specific needs for their travel insurance 92 CompliNEWS 30 Sep 2019
Banking - stress testing for human beings 92 CompliNEWS 30 Sep 2019
Financial Services Tribunal publishes its hearing schedule for the rest of 2019 92 CompliNEWS 30 Sep 2019
Information Exchange Agreement signed between FIC and SAPS 92 CompliNEWS 30 Sep 2019
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Working Smart

By Lee Rossini

Although it is possible to manage with out-of-date software, sometimes upgrading software is an imperative. Regulatory scrutiny, data sensitivity, cybersecurity risks and operational continuity all demand a structured and disciplined approach. This can be a high-stakes project and success depends on aligning technology decisions with strategic, compliance and operational goals. Here are some guidelines to ensure success.

CPD

Subscribers are reminded that they can complete monthly CPD quizzes and claim CPD hours before the 31 May 2025 deadline. View the CPD FAQs for more on accessing the CPD quizzes.

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