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Headline Issue Diary Date
UK's FCA supports voluntary Code of Conduct for ESG data and ratings products 279 CompliNEWS 30 Jun 2023
FSCA publishes 2023–2026 Regulation Plan to promote fairness and integrity in financial markets 279 CompliNEWS 30 Jun 2023
Financial Intelligence Centre releases PCC 57, which offers insight and guidance for crypto asset service providers 279 CompliNEWS 30 Jun 2023
Thomson Reuters survey sheds light on evolving anti-money laundering and customer due diligence practices in financial services 279 CompliNEWS 30 Jun 2023
Compli-Serve SA bolsters team with new compliance officer, Seshini Magan 279 CompliNEWS 30 Jun 2023
South Africa moves towards deposit insurance with draft Regulations and Corporation for Deposit Insurance 279 CompliNEWS 30 Jun 2023
TRM Labs unveils comprehensive analysis of illicit activities in the crypto sphere 279 CompliNEWS 30 Jun 2023
Hezbollah's cryptocurrency financing disrupted: Israel seizes $1.7m in groundbreaking operation 279 CompliNEWS 30 Jun 2023
Egmont Group faces criticism for hosting annual financial crime conference in 'greylisted' UAE; technological advancements 279 CompliNEWS 30 Jun 2023
Complaint alleges former FTX GC-chief compliance officer assisted in diverting billions to insiders 279 CompliNEWS 30 Jun 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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