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Headline Issue Diary Date
Lawyers fined for submitting fake cases generated by ChatGPT, New York court says they 'abandoned responsibilities' 278 CompliNEWS 23 Jun 2023
FCA bans adviser Mark Abley and imposes £106k payment for poor pension transfer advice 278 CompliNEWS 23 Jun 2023
FSCA warns public about unlicensed activities of Zhen-Dex trading 278 CompliNEWS 23 Jun 2023
FSCA warns public about XPRESTRADE's misleading practices and unauthorised financial services 278 CompliNEWS 23 Jun 2023
FST – Death benefits – Dismissal of application for reconsideration of Pension Funds Adjudicator's determination in Discovery Life case 278 CompliNEWS 23 Jun 2023
Labour Court dismisses 'suspended dismissal' and orders immediate termination of National Lotteries Commission employee found guilty of gross misconduct 278 CompliNEWS 23 Jun 2023
Gauteng High Court – Discovery’s claims bid against RAF dismissed 278 CompliNEWS 23 Jun 2023
Changes to tax returns and filing process for individual taxpayers in the 2023 tax filing season 278 CompliNEWS 23 Jun 2023
Outcomes FATF Plenary, 21-23 June 2023 278 CompliNEWS 23 Jun 2023
Croatia enters FATF greylist; urged to improve anti-money laundering measures; Cameroon and Vietnam also added 278 CompliNEWS 23 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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