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Headline Issue Diary Date
South African employers face increased scrutiny over failure to pay retirement fund contributions 277 CompliNEWS 19 Jun 2023
Johannesburg mayor Kabelo Gwamanda accused of operating an illegal financial services business 277 CompliNEWS 19 Jun 2023
Supreme Court of Appeal rules in favour of Discovery Insure in fraudulent claim case 277 CompliNEWS 19 Jun 2023
Nigerian President suspends head of Economic and Financial Crimes Commission for abuse of office 277 CompliNEWS 19 Jun 2023
South Africa steps up crypto asset regulation 277 CompliNEWS 19 Jun 2023
FCA initiates criminal proceedings against three individuals for unauthorised sale-and-rent-back schemes 277 CompliNEWS 19 Jun 2023
Turning compliance plans into action: A necessity in the face of enhanced regulatory expectations 277 CompliNEWS 19 Jun 2023
Financial Conduct Authority receives 43 whistleblower reports on sexual harassment in financial services in past five years 277 CompliNEWS 19 Jun 2023
FSCA revokes licence and imposes fine on OM Bridge for regulatory violations 277 CompliNEWS 19 Jun 2023
SEC files lawsuit against Coinbase for operating as unregistered securities exchange, targets crypto industry 276 CompliNEWS 09 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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