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Headline Issue Diary Date
Setting and achieving goals and objectives 285 CompliNEWS 12 Aug 2023
European Banking Authority employs mystery shopping to monitor national regulatory compliance 285 CompliNEWS 12 Aug 2023
Pakistan's National Assembly approves Anti-Money Laundering and Counter-Terrorism Financing Bill, 2023 285 CompliNEWS 12 Aug 2023
Dramatic rise in ESG-qualified bonds sparks scrutiny on sustainability credentials 285 CompliNEWS 12 Aug 2023
UK regulator invites Politically Exposed Persons to share their experiences 285 CompliNEWS 12 Aug 2023
Insurance — ASIC urges short-term insurers to enhance claims handling practices 285 CompliNEWS 12 Aug 2023
Hedge funds — Navigating uncertain financial waters 285 CompliNEWS 12 Aug 2023
US' SEC charges 11 Wall Street firms over recordkeeping violations 285 CompliNEWS 12 Aug 2023
Cybersecurity landscape in 2023 — Global trends and challenges 285 CompliNEWS 12 Aug 2023
Digital over-reliance: a cautionary tale for fintechs and banks 285 CompliNEWS 12 Aug 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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