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Headline Issue Diary Date
Prudential Authority publishes guidelines related to risk management practices concerning proliferation financing risk 248 CompliNEWS 03 Nov 2022
FSCA Communication 33 of 2022 (RF) – Publication of draft Prudential Standard – Regulation 28 Quarterly Reporting Requirements for Pension Funds 248 CompliNEWS 03 Nov 2022
‘Law-breaking on a grand scale’ – Commonwealth Bank of Australia and non-compliance 248 CompliNEWS 03 Nov 2022
Regulator orders Deutsche Bank to improve anti-money laundering measures 248 CompliNEWS 03 Nov 2022
Regulator expects large organisations to make financial investments to maintain their security standards 248 CompliNEWS 03 Nov 2022
Countries ignoring crypto AML rules risk placement on FATF’s ‘grey list’: Report 248 CompliNEWS 03 Nov 2022
2022 Rates Bill & Tax Bills 248 CompliNEWS 03 Nov 2022
Financial Services Tribunal – Determination involving SS Ngobese v Liberty Group (debarment case) 248 CompliNEWS 03 Nov 2022
Intensification of work being slowly pushed back – BBC Workplace 248 CompliNEWS 03 Nov 2022
Global Cybercrime Summit 248 CompliNEWS 03 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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