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Headline Issue Diary Date
DA introduces Bill to establish Cyber Commissioner for enhanced protection against cyber threats 280 CompliNEWS 07 Jul 2023
Merrill Lynch fined $12 million for failure to file suspicious activity reports 280 CompliNEWS 07 Jul 2023
Guernsey Financial Services Commission updates handbook to include virtual asset service providers and introduces independent compliance audit 280 CompliNEWS 07 Jul 2023
Why craft a vision statement 280 CompliNEWS 07 Jul 2023
Public cautioned against Empire Profit Machines by FSCA due to suspected violations of financial sector laws 280 CompliNEWS 07 Jul 2023
Latest GDPR enforcement briefs 280 CompliNEWS 07 Jul 2023
Barclays wins Supreme Court appeal over duties to prevent customer fraud 280 CompliNEWS 07 Jul 2023
Chainalysis debunks 33 crypto myths, aiming to guide institutions and regulators 280 CompliNEWS 07 Jul 2023
South African companies must declare beneficial ownership to CIPC by October 2023 280 CompliNEWS 07 Jul 2023
Latest on UAE's greylisting and FATF consolidated assessment ratings for July 2023 280 CompliNEWS 07 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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