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Headline Issue Diary Date
ASIC proposes ban on the sale of binary options to retail clients, and restrictions on the sale of CFDs 86 CompliNEWS 19 Aug 2019
The UK's PPI deadline is less than a week away 86 CompliNEWS 19 Aug 2019
Limiting staff turnover 86 CompliNEWS 19 Aug 2019
New Act targets fraudulent qualifications 86 CompliNEWS 19 Aug 2019
Debt relief Act gazetted, but not operational 86 CompliNEWS 19 Aug 2019
The future of compliance 86 CompliNEWS 19 Aug 2019
Capitec reduces exposure ahead of debt relief Act 86 CompliNEWS 19 Aug 2019
Chapter 14 of FSR Act takes effect 1 September 2019 86 CompliNEWS 19 Aug 2019
New replacement record of advice format comes into effect 1 September 2019 86 CompliNEWS 19 Aug 2019
Next UK regulatory exam sitting scheduled for 27 September 2019 86 CompliNEWS 19 Aug 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Although it is possible to manage with out-of-date software, sometimes upgrading software is an imperative.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.

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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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