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Headline Issue Diary Date
Prudential Authority/FSCA proposes implementation dates for Basel III reforms in South Africa; key implementation dates 282 CompliNEWS 20 Jul 2023
FSCA Circular 2/2023 – Compliance requirements for banks and controlling companies regarding Form BA 020 submission and role changes 282 CompliNEWS 20 Jul 2023
FSCA enforces crackdown – Multiple entities found contravening financial services laws 282 CompliNEWS 20 Jul 2023
FSCA cautions against dealing with Global Booming Investment (Pty) Ltd 282 CompliNEWS 20 Jul 2023
FSCA issues warning against Aquila Investment Management (AIM) and representatives, Cornelius Jansen De Jager and Martin Van Staden 282 CompliNEWS 20 Jul 2023
Why is a mission statement essential? 282 CompliNEWS 20 Jul 2023
Developed countries 'enabling' illicit financial crimes 282 CompliNEWS 20 Jul 2023
Competition Appeals Court rules in favour of banks, allows closure of Iqbal Survé's Group bank accounts 282 CompliNEWS 20 Jul 2023
Financial Ombud closes over 1 000 property syndication complaints without adjudication, leaving investors disheartened 282 CompliNEWS 20 Jul 2023
Financial advisers' business models at risk – Consumer duty regulation warnings 282 CompliNEWS 20 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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