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Headline Issue Diary Date
$3bn penalty for Mirror Trading International head 270 CompliNEWS 28 Apr 2023
Moselane Mahlangu debarred by the FSCA, Mahlangu and Forex Tutorials fined for violating a financial sector law 270 CompliNEWS 28 Apr 2023
AI improves office workers' productivity - report 269 CompliNEWS 20 Apr 2023
AI gives businesses the competitive edge 269 CompliNEWS 20 Apr 2023
BAT fined $508 612 492 by the US Treasury for apparent violations of OFAC’s sanctions against North Korea and WMD proliferators. 269 CompliNEWS 20 Apr 2023
US points to major SA-linked money laundering 269 CompliNEWS 20 Apr 2023
Using the Process Approach to identify and implement new technology 269 CompliNEWS 20 Apr 2023
FAIS Act – Teboho Walter Kholumo v FNB Premier Banking (Debarment – Procedural and substantive fairness – Honesty and integrity) 269 CompliNEWS 20 Apr 2023
FSCA clarifies licensing requirements for derivative traders, including traders in crypto derivatives, and mirror trading 269 CompliNEWS 20 Apr 2023
Draft Interpretation Ruling in terms of section 142(7) of the Financial Sector Regulation Act 269 CompliNEWS 20 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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