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Headline Issue Diary Date
UK adults' waning confidence in financial services revealed ahead of consumer duty introduction 282 CompliNEWS 20 Jul 2023
FST – Maria Shila Makua and First National Bank (debarment of representative for no longer complying with fit and proper requirements – procedural and substantive fairness) 282 CompliNEWS 20 Jul 2023
Namibia strengthens anti-money laundering legislation with multiple amendments in 2023 282 CompliNEWS 20 Jul 2023
Mandatory beneficial ownership registers implemented for Namibian companies from 21 July 2023 282 CompliNEWS 20 Jul 2023
Namibia introduces legislation to monitor cryptocurrency sector following passage of Virtual Assets Bill 282 CompliNEWS 20 Jul 2023
South Africa's swift action against money laundering and terrorist financing – Efforts and strategies to overcome greylisting 282 CompliNEWS 20 Jul 2023
United Nations Security Council updates FIC on amendments to identification of suspected terrorist Yazid Sufaat 282 CompliNEWS 20 Jul 2023
Vanguard Investments Australia accused of greenwashing, faces legal charges from ASIC 282 CompliNEWS 20 Jul 2023
UBS hit with $400m fine over Credit Suisse mismanagement and Archegos ties – A compliance conundrum 282 CompliNEWS 20 Jul 2023
Charlie Shrem's journey – From crypto criminality to championing compliance 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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