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Headline Issue Diary Date
Evercrest Aggressive Fund director's bid to halt fraud trial Fails in country's first hedge fund investigation 283 CompliNEWS 28 Jul 2023
United African Stokvel (UAS) scam unravels – Allegations of threats, misconduct, and financial losses come to light 283 CompliNEWS 28 Jul 2023
Understanding the Financial Sector Conduct Authority levy for 2023/2024 – Category II and IIA FSPs – deadline 20 September 2023 283 CompliNEWS 28 Jul 2023
Historic shift in UK financial services – Consumer Duty regulation went live on 31 July 2023 283 CompliNEWS 28 Jul 2023
Counterfeit luxury goods trade on the rise – South Africa emerging as a key hotspot 283 CompliNEWS 28 Jul 2023
Dispelling misconceptions – South African banks and the gap in lending rates 283 CompliNEWS 28 Jul 2023
Demystifying Greenwashing – Implications for financial sector and countermeasures to prevent It 283 CompliNEWS 28 Jul 2023
Germany to establish Federal Bureau of Financial Intelligence in response to money laundering criticisms 283 CompliNEWS 28 Jul 2023
SEC takes action – Charges on $35M Ponzi scheme, proposes reforms for internet-only advisers, predictive data analytics, and adopts cybersecurity rules 283 CompliNEWS 28 Jul 2023
Coutts Bank's ejection of Nigel Farage sparks outrage and resignations 283 CompliNEWS 28 Jul 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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