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Headline Issue Diary Date
Poloniex, a Delaware-based crypto exchange, settles with OFAC for $7.591m over 66 000 violations of multiple sanctions programmes 271 CompliNEWS 05 May 2023
SAPS violated several provisions of the Protection of Personal Information Act (PoPIA) 271 CompliNEWS 05 May 2023
Insurance – Big increase in damage to appliances and food spoilage because of blackouts 270 CompliNEWS 28 Apr 2023
The role of private equity investment in Africa's transformation 270 CompliNEWS 28 Apr 2023
Crypto regulation is challenging 270 CompliNEWS 28 Apr 2023
TCF – Australian regulator calls on investment product issuers to ‘lift their game’ on design and distribution obligations 270 CompliNEWS 28 Apr 2023
Greenwashing and financial advice 270 CompliNEWS 28 Apr 2023
Karabo Freddy Simon Tholo v Old Mutual (debarment process – s 14(2)(a)) 270 CompliNEWS 28 Apr 2023
Jooste instigated R16bn swindle, Steinhoff trial hears 270 CompliNEWS 28 Apr 2023
Civil procedure etc – Bester v Mirror Trading International (crypto fraud) 270 CompliNEWS 28 Apr 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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