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Headline Issue Diary Date
GCR Ratings exempted from key provisions of the 2022 Financial Levies Act 291 CompliNEWS 22 Sep 2023
FSCA RF Notice 20 of 2023 – Exemption under the Pension Funds Act, 1956 291 CompliNEWS 22 Sep 2023
FSCA revokes Salt Asset Management's licence over compliance failures 291 CompliNEWS 22 Sep 2023
Climate activists protest at Standard Bank headquarters demanding shift to renewable energy 291 CompliNEWS 22 Sep 2023
Australia's regulator sues crypto exchange alleging design and distribution failures 291 CompliNEWS 22 Sep 2023
Australia's Federal Court fines NAB $2.1 million for wrongful overcharging of clients 291 CompliNEWS 22 Sep 2023
Tribunal upholds reconsideration request in Momentum Retirement Annuity Fund case 291 CompliNEWS 22 Sep 2023
UK's FCA sounds alarm on GAP insurance fairness: immediate action demanded 291 CompliNEWS 22 Sep 2023
UK's FCA tightens grip on crypto marketing: new rules effective from 8 October 2023; final warning letters sent 291 CompliNEWS 22 Sep 2023
Russia seeks observer status in African anti-money laundering group amid global isolation 290 CompliNEWS 15 Sep 2023
Working Smart

By Lee Rossini

Business continuity planning (BCP) is a structured approach that ensures a financial advice business can continue operating during and after unexpected disruptions. These disruptions might include natural disasters, cyberattacks, power outages, regulatory shocks, or even the sudden loss of key personnel. In a profession built on trust, timely communication and regulatory compliance, having a robust continuity plan is not optional; it is essential for protecting clients, safeguarding data and preserving the firm’s reputation.

CPD

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

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