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Headline Issue Diary Date
SARS is clamping down on these business transactions, releases interpretation note 255 CompliNEWS 13 Jan 2023
Private equity dealmakers say don’t ignore firms with bad ESG 255 CompliNEWS 13 Jan 2023
UK Gambling Commission fines Vivaro Ltd over £337 631 (R7m) for AML and social responsibility failings 255 CompliNEWS 13 Jan 2023
Private equity firms tighten focus on cyber defenses 255 CompliNEWS 13 Jan 2023
Money laundering Fishrot suspect appeals High Court ruling 255 CompliNEWS 13 Jan 2023
Decades of price fixing among insurers – competition watchdog 255 CompliNEWS 13 Jan 2023
UK's FCA releases a series of podcasts and webinars on the Consumer Duty requirements 255 CompliNEWS 13 Jan 2023
JSE Clear granted clearing house and Central Counterparty permissions status subject to conditions 255 CompliNEWS 13 Jan 2023
Decision involving Land Bank Insurance Company (and Life Insurance Company) and Prudential Authority (Reconsideration application regarding administrative penalty) 255 CompliNEWS 13 Jan 2023
Greece – Imposition of a fine on Intellexa for non-cooperation with the Authority on data protection issue 255 CompliNEWS 13 Jan 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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