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Headline Issue Diary Date
Financial Services Tribunal upholds FSCA decision on PSSPF trustees and principal officer 272 CompliNEWS 12 May 2023
FICA case studies and indicators 2017–2022 collection released 272 CompliNEWS 12 May 2023
UK's FCA censures Lighthouse Advisory Services Limited for serious failings in relation to the British Steel Pension Scheme and £23m paid out in redress 272 CompliNEWS 12 May 2023
The UK's new Consumer Duty on financial services providers...the clock is ticking 272 CompliNEWS 12 May 2023
Namibia's cabinet committee on legislation clears revised AML laws for submission to parliament to meet mutual evaluation outcomes 272 CompliNEWS 12 May 2023
Frank's faces SEC penalty for FCPA violations in Angola operations 272 CompliNEWS 12 May 2023
Did SA sell arms to 'sanctioned' Russia? Will this potentially affect the greylisting status of SA? – A week's supply of reporting 272 CompliNEWS 12 May 2023
FICA – What is a risk-based approach? 271 CompliNEWS 05 May 2023
Sanctions-busting states could be EU’s next targets 271 CompliNEWS 05 May 2023
The Future of Regulation, Risk Management, and Compliance 2023 271 CompliNEWS 05 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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