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Headline Issue Diary Date
Key compliance executives depart Binance amidst government investigations 280 CompliNEWS 07 Jul 2023
US, UK, and EU regulators warn of sanctions enforcement and penalties for evasion and circumvention 280 CompliNEWS 07 Jul 2023
The unintended consequences of current supply chain laws and ESG legislation 280 CompliNEWS 07 Jul 2023
National Health Insurance – All you need to know 280 CompliNEWS 07 Jul 2023
South African Exchange Control rules highlighted in recent court case: single discretionary allowance misuse results in blocking order 280 CompliNEWS 07 Jul 2023
Nearly all claims from 2021 riots settled: Sasria pays over R32 billion and learns key lessons 280 CompliNEWS 07 Jul 2023
Ensuring compliance: a practical guide to monitoring client files under the FAIS Act, AML Requirements, and FICA 280 CompliNEWS 07 Jul 2023
Royal Gibraltar police confiscates £2 Million in assets from local family in money laundering investigation 280 CompliNEWS 07 Jul 2023
Global developments in ESG 280 CompliNEWS 07 Jul 2023
Asset and wealth managers face challenges: one-in-six May fail by 2027, says PwC 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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