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Headline Issue Diary Date
Pension fund exemptions 253 CompliNEWS 09 Dec 2022
UK's FCA fines three broker firms £4 775 200 for failures relating to the detection of market abuse 253 CompliNEWS 09 Dec 2022
UK's FCA fines Santander UK more than £107m (>R2 287bn) for repeated anti-money laundering failures 253 CompliNEWS 09 Dec 2022
FATF urges countries to introduce legislation for travel rule 253 CompliNEWS 09 Dec 2022
South Africa turns grey as FATF threatens to put them on the naughty list 253 CompliNEWS 09 Dec 2022
General Laws (Anti-Money Laundering and Combating Terrorism Financing) Amendment Bill passed by the NCOP and sent to the President for assent 253 CompliNEWS 09 Dec 2022
Legal framework limited to protect whistle-blowers 253 CompliNEWS 09 Dec 2022
Auditing – Code of Conduct published for comment 253 CompliNEWS 09 Dec 2022
FICA changes aimed at cutting money-laundering risks 253 CompliNEWS 09 Dec 2022
Seasonal downtime 252 CompliNEWS 01 Dec 2022
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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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