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Headline Issue Diary Date
FSCA warns the public against Money Moves Forex Trading and/or Prophet Moral Monareng 71 CompliNEWS 14 May 2019
FST case summary involving Homewood and Pension Fund Adjudicator and others 71 CompliNEWS 14 May 2019
Australia's ASIC bans former Kaz Capital adviser for six years for conflicts failings 71 CompliNEWS 14 May 2019
Internet complaints top list – Banking Ombud; releases annual report; fraud 71 CompliNEWS 14 May 2019
FSCA – Invitation for public comments on draft Conduct Standard for banks 71 CompliNEWS 14 May 2019
UK Ombud publishes annual review with interesting case studies 71 CompliNEWS 14 May 2019
GDPR penalties prove why compliance isn't enough — and why companies need clarity 71 CompliNEWS 14 May 2019
10 truths compliance must know about corporate culture 71 CompliNEWS 14 May 2019
Aussie regulator consults on lifting standards and transparency of complaints handling 71 CompliNEWS 14 May 2019
UK regulator's CEO sets out his vision for future in first 'Inside FCA' podcast 71 CompliNEWS 14 May 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Although it is possible to manage with out-of-date software, sometimes upgrading software is an imperative.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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