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Headline Issue Diary Date
UK regulator proposes permanent measures for retail CFDs and binary options 52 CompliNEWS 10 Dec 2018
Smarter compliance embraces proactive solutions 52 CompliNEWS 10 Dec 2018
Interest rate benchmark reform process announced 52 CompliNEWS 10 Dec 2018
Moving past compliance to 'fairness' on the Momentum issue 52 CompliNEWS 10 Dec 2018
Celebrities charged over cryptocurrency promotion in the US 51 CompliNEWS 04 Dec 2018
No clarity on status of NHI Bill 51 CompliNEWS 04 Dec 2018
FSCA extends period for compliance with Rule 19 of PPR regarding replacements 51 CompliNEWS 04 Dec 2018
FSCA reports back on market abuse investigations 51 CompliNEWS 04 Dec 2018
FST case – Johlyn Financial Advisory Services/GW Venter vs M McNamara/FAIS Ombud 51 CompliNEWS 04 Dec 2018
Coaching as a learning experience 51 CompliNEWS 04 Dec 2018
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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Although it is possible to manage with out-of-date software, sometimes upgrading software is an imperative.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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