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Headline Issue Diary Date
Nedbank fined millions for FICA AML deficiencies – PA 236 CompliNEWS 15 Aug 2022
Aussie regulator releases research report into retail investor motivations, attitudes and behaviours in the period following the onset of the Covid-19 pandemic 235 CompliNEWS 05 Aug 2022
FATF greylisting ‘too close to call’ – Nedbank 235 CompliNEWS 05 Aug 2022
Is the Metaverse a cyber-sandbox for terrorists? 235 CompliNEWS 05 Aug 2022
Trident Trust Company (IOM) Limited fined by Isle of Man regulator for AML/TF regulatory failings 235 CompliNEWS 05 Aug 2022
Bain banned from UK government contracts over role in SARS capture 235 CompliNEWS 05 Aug 2022
Information Regulator initiates an investigation into possible violations of PoPIA by members of SAPS 235 CompliNEWS 05 Aug 2022
‘Crypto-mixer’ sanctioned for money laundering 235 CompliNEWS 05 Aug 2022
Nova Property Group (Sharemax) ordered to stop selling properties 235 CompliNEWS 05 Aug 2022
Investment manager convicted over role in £100m fraud scheme 235 CompliNEWS 05 Aug 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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