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Headline Issue Diary Date
POPIA impact assessments 252 CompliNEWS 01 Dec 2022
UK regulator to crack down on rogue adverts 252 CompliNEWS 01 Dec 2022
Amendments to the General Code of Conduct – FAIS and Compliance Officer qualification framework 252 CompliNEWS 01 Dec 2022
Financial Services Tribunal – Decision involving T & T Underwriting Managers and FSCA (failure to submit annual financial statements; failure to appoint key individual) 252 CompliNEWS 01 Dec 2022
PIC to be held accountable for investment decisions 252 CompliNEWS 01 Dec 2022
FAIS Ombud warns against funeral policies offered on social media platforms 252 CompliNEWS 01 Dec 2022
Japan wants to enshrine the Financial Action Task Force’s crypto anti-money laundering guidelines into its legal code 252 CompliNEWS 01 Dec 2022
French record fine of €75m against H2O Asset Management, Swedish asset management firm fined for conflict-of-interest failures 252 CompliNEWS 01 Dec 2022
A new Consumer Duty – Setting a higher standard of care for consumers 252 CompliNEWS 01 Dec 2022
More than 100 people arrested in the UK’s biggest ever fraud investigation 252 CompliNEWS 01 Dec 2022
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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