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Headline Issue Diary Date
US' FINRA identifies potential violations of UK Financial Rules in majority of crypto asset communications 307 CompliNEWS 01 Feb 2024
Goldman Sachs fined $513K by FINRA over faulty surveillance reports 307 CompliNEWS 01 Feb 2024
Guidelines for developing workflow processes 307 CompliNEWS 01 Feb 2024
Financial Services Tribunal rejects Ganesan Moodley's reconsideration appeal in case against Alexander Forbes Retirement Fund 307 CompliNEWS 01 Feb 2024
South Africa can draw lessons from UAE's successful anti-money laundering measures as it seeks removal from FATF grey list 307 CompliNEWS 01 Feb 2024
ASISA announces appointment of acting CEO 307 CompliNEWS 01 Feb 2024
The political landscape ahead of key regulatory changes 307 CompliNEWS 01 Feb 2024
Debarment – Representative cutting and pasting customer’s electronic signature on document material to transaction 307 CompliNEWS 01 Feb 2024
FIC's expanded compliance push for DNFBPs – Estate agents and legal practitioners included; country must report to FATF in May 2024 307 CompliNEWS 01 Feb 2024
IC Markets impersonation scam 307 CompliNEWS 01 Feb 2024
Working Smart

By Lee Rossini

In a highly competitive environment where services and products offered to clients are often very similar, what differentiates successful financial services businesses is their ability to build and sustain a client-centric culture. A client-centric culture places the client at the heart of every decision, process, and interaction, ensuring that the business consistently delivers value, trust, and exceptional service.

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