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Headline Issue Diary Date
Labour Law – Warwick Wealth (Pty) Ltd v Anderson and others (enforcement of restraint of trade – Basic Conditions of Employment Act) 273 CompliNEWS 21 May 2023
RDR: Shifting business models and the need for change in advisers' value propositions 273 CompliNEWS 21 May 2023
UK regulator finds young investors are more likely to have long-term goals in mind when dating than when investing 273 CompliNEWS 21 May 2023
Requirements for financial services providers, including crypto asset providers, published 273 CompliNEWS 21 May 2023
Ex-FAIS Ombud deputy fails in dismissal review 273 CompliNEWS 21 May 2023
Ultimate decision-making authority must rest with human beings, not solely with AI systems; compliance and AI 273 CompliNEWS 21 May 2023
Notice of curatorship for Habib Overseas Bank Limited 273 CompliNEWS 21 May 2023
FSCA warns the public against South Afri Capital Company t/a Thembi Shilengee 273 CompliNEWS 21 May 2023
FST Determination – Cindy Pillay and Clientèle Life Assurance Company Limited (reconsideration application – debarment of representative – misconduct serious enough to impugn one’s character traits of ‘honesty and integrity’) 273 CompliNEWS 21 May 2023
International regulatory watchdog calls for an end to regulatory arbitrage in crypto asset sector 273 CompliNEWS 21 May 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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