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Headline Issue Diary Date
Matching client risk appetite with ESG preferences 251 CompliNEWS 27 Nov 2022
Former Steinhoff CEO Markus Jooste set for fraud trial in Germany in 2023 251 CompliNEWS 27 Nov 2022
Private equity trusts 251 CompliNEWS 27 Nov 2022
'Crypto industry has a lot more to learn' 251 CompliNEWS 27 Nov 2022
EU court protects anonymity of registered companies in respect of beneficial ownership registers 251 CompliNEWS 27 Nov 2022
Alleged Epstein victims sue banks for ignoring 'red flags' 251 CompliNEWS 27 Nov 2022
Seasonal downtime 250 CompliNEWS 18 Nov 2022
Goldman Sachs fined $4m over ESG fund failures 250 CompliNEWS 18 Nov 2022
Latest GDPR enforcement cases incl. Raiffeisen Bank fined 28 000 Euros for insufficient technical and organisational measures to ensure information security 250 CompliNEWS 18 Nov 2022
Northern Cape High Court – Liberty Group v C (Commorientes) 250 CompliNEWS 18 Nov 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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