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Headline Issue Diary Date
Namibian Minister of Finance and Public Enterprises establishes Technical Advisory Committee for public consultation on retirement benefits regulation 273 CompliNEWS 21 May 2023
Currie brothers found guilty of fraud and money laundering in FCA-led prosecution 273 CompliNEWS 21 May 2023
Revolutionary business ethics study – Ethical treatment of employees outweighs awareness in fostering ethical conduct 41 CompliNEWS Ethics 21 May 2023
How can artificial intelligence help your firm's anti-money laundering efforts? 273 CompliNEWS 21 May 2023
UAE holds international summit on combating money laundering, terrorism financing 273 CompliNEWS 21 May 2023
OFAC reaches settlement with Murad for $3 334 286 and former senior executive for $175 000 over apparent violations of Iranian transactions and sanctions regulations 273 CompliNEWS 21 May 2023
Mastermind behind £70m investment scheme convicted in high-profile fraud case 273 CompliNEWS 21 May 2023
FSCA warns the public against Datum RS impersonating QuickTrade 273 CompliNEWS 21 May 2023
AMP fined $24m for unlawful insurance charges on deceased clients 273 CompliNEWS 21 May 2023
Australia – MLC Life Insurance penalised $10m for misleading customers and failing to provide benefits 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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