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Headline Issue Diary Date
Compli-Serve on a culture of compliance 40 CompliNEWS Ethics 10 Mar 2023
Setting the scene for financial services’ compliance in 2023 40 CompliNEWS Ethics 10 Mar 2023
Disputed allocation by pension fund – Municipality Gratuity Fund and Pension Fund Adjudicator 263 CompliNEWS 10 Mar 2023
GDPR fine – Failure to keep up-to-date and accurate data 263 CompliNEWS 10 Mar 2023
Sensitive personal data of US House and Senate members hacked, offered for sale 263 CompliNEWS 10 Mar 2023
Employers still need workplace plans 263 CompliNEWS 10 Mar 2023
The State of Financial Crime 2023 263 CompliNEWS 10 Mar 2023
Old Mutual ploughing ahead with bank plan 263 CompliNEWS 10 Mar 2023
UK regulator to collect economic crime levy 263 CompliNEWS 10 Mar 2023
FSCA Communication 9 of 2023 (FAIS) – Workshops for Financial Services Providers – March 2023 263 CompliNEWS 10 Mar 2023
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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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