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Headline Issue Diary Date
FSCA extends exemptions for private equity funds in FAIS Notice 32 of 2023 276 CompliNEWS 09 Jun 2023
Strengthening the global fight against financial crime: FATF's priorities and collaborative approach 276 CompliNEWS 09 Jun 2023
Are Politically Exposed Persons (PEPs) indeed vulnerable to financial crime? 276 CompliNEWS 09 Jun 2023
Insurance market reluctant to provide broad protection for crypto companies and assets, following FTX collapse 276 CompliNEWS 09 Jun 2023
Morningstar report explores rise of anti-ESG funds and their holdings 276 CompliNEWS 09 Jun 2023
COMPLY releases 2023 CCO Playbook for UK Financial Firms, providing regulatory guidance and insights – of interest to SA based compliance officers 276 CompliNEWS 09 Jun 2023
JPMorgan Chase settles lawsuit qver Epstein-related allegations, expresses regret for association 276 CompliNEWS 09 Jun 2023
Regulation 28 amendments enable private equity to drive sustainable national goals 276 CompliNEWS 09 Jun 2023
Financial services providers (FSPs) warned of severe penalties for non-compliance with FIC Act 276 CompliNEWS 09 Jun 2023
FSCA announces amendments to margin requirements for non-centrally cleared OTC derivative transactions 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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