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Headline Issue Diary Date
Wells Fargo to pay $97m for sanctions compliance failures 266 CompliNEWS 31 Mar 2023
Swiss authorities launch investigation into emergency £2.6bn takeover of Credit Suisse by rival UBS 266 CompliNEWS 31 Mar 2023
EY hit with two-year ban in Germany over Wirecard audits, fined 500 000 euros (US $545 000) 266 CompliNEWS 31 Mar 2023
FSCA warns the public against individuals impersonating Nesa Capital (Pty) Ltd 266 CompliNEWS 31 Mar 2023
Australian regulator sues Auto & General Insurance Company for alleged unfair contract terms in insurance 266 CompliNEWS 31 Mar 2023
Two exemptions granted from Rule 2A.6.1 of the Policyholder Protection Rules (Long-term Insurance) 266 CompliNEWS 31 Mar 2023
The 20 jobs Chat GPT-4 says it can replace 266 CompliNEWS 31 Mar 2023
Dormant FSPs and tax filings 266 CompliNEWS 31 Mar 2023
Covid-19 – Solidariteit Helpende Hand v Minister of Co-operative Governance 266 CompliNEWS 31 Mar 2023
SARS collects more than R2 trillion 266 CompliNEWS 31 Mar 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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