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Headline Issue Diary Date
Compliance officer with cancer claims $5m from NatWest for unfair dismissal 251 CompliNEWS 27 Nov 2022
Danish regulator reminds operators of enhanced checks for grey-list countries 251 CompliNEWS 27 Nov 2022
European super cartel is taken down in six countries 251 CompliNEWS 27 Nov 2022
Stak FX Ltd, target of suspected identity fraud – BaFin issues warning against trading platform 251 CompliNEWS 27 Nov 2022
Private equity must reduce financed emissions – study 251 CompliNEWS 27 Nov 2022
Treasury addresses ratings agency's assesment 251 CompliNEWS 27 Nov 2022
FST determination – T Greyling and F Visser, AC Visser, FAIS Ombud (broker’s liability after referral to person skilled in property investments – ‘advice’ – Ombud’s facts and findings don’t add up, says Tribunal) 251 CompliNEWS 27 Nov 2022
SA’s pension system slips further down the global charts 251 CompliNEWS 27 Nov 2022
Latest on FTX fallout including complete failure of corporate controls 251 CompliNEWS 27 Nov 2022
Cryptocurrency fraud surges in the UK 251 CompliNEWS 27 Nov 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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