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Headline Issue Diary Date
Spanish authorities break into European 'Narco Bank' 241 CompliNEWS 18 Sep 2022
Labour Court (Cape Town) – Sanlam Life Insurance v Rheeder 241 CompliNEWS 18 Sep 2022
Financial Services Tribunal – Summary of determination involving JM Busha Asset Managers and FSCA (Category II financial soundness) 241 CompliNEWS 18 Sep 2022
Former Aussie financial adviser pleads guilty to making unauthorised client transactions 241 CompliNEWS 18 Sep 2022
New acting FAIS Ombud appointed 241 CompliNEWS 18 Sep 2022
Prudential Communication 12 of 2022 – Invitation for comment on draft Prudential Standard – Stays on early-termination rights and resolution moratoria on contracts of designated institutions in resolution 241 CompliNEWS 18 Sep 2022
Order granted for the final winding up (liquidation) of Constantia Insurance Company Limited 241 CompliNEWS 18 Sep 2022
French firm fined for insufficient technical and organisational measures to ensure information security 241 CompliNEWS 18 Sep 2022
Net closing in on crypto firms that shun new anti-money-laundering regimes – RiskScreen 241 CompliNEWS 18 Sep 2022
Biggest money laundering risks must be given top priority 241 CompliNEWS 18 Sep 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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