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Headline Issue Diary Date
UK's Financial watchdog puts banks on alert in fight against money laundering via the Post Office 269 CompliNEWS 20 Apr 2023
Billions withdrawn from Credit Suisse prior to merger push 269 CompliNEWS 20 Apr 2023
A deep dive into the Microsoft OFAC sanctions settlement – sanctions compliance, other sanctions news 269 CompliNEWS 20 Apr 2023
2023 Draft Taxation Laws Amendment Bill – Publication of the renewable energy incentives 269 CompliNEWS 20 Apr 2023
CCMA updates its rules on the conduct of proceedings to reflect all amendments made since October 2003 269 CompliNEWS 20 Apr 2023
The regulatory framework for financial services compliance in Australia 269 CompliNEWS 20 Apr 2023
FIC issues strong warning to new accountable institutions 269 CompliNEWS 20 Apr 2023
South Africa’s economic woes 269 CompliNEWS 20 Apr 2023
Consumer duty – communication biggest change for advisers in the UK as deadline approaches 269 CompliNEWS 20 Apr 2023
Redress for Woodford Equity Income Fund investors in the UK 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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