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Headline Issue Diary Date
US crypto firm Nomad hit by R3.2bn theft; SEC charges fraudulent crypto pyramid and Ponzi scheme; NYDFS fines Robinhood Crypto for infractions 234 CompliNEWS 29 Jul 2022
PoPIA – One year later 234 CompliNEWS 29 Jul 2022
Financial Services Tribunal determination involving GI Tactical and TJ Tlhako, the Private Security Sector Pension Fund, the PFA 234 CompliNEWS 29 Jul 2022
Financial Services Tribunal determination involving Shaida Alli and the FSCA (debarment) 234 CompliNEWS 29 Jul 2022
Financial adviser banned for five years in Australia 234 CompliNEWS 29 Jul 2022
UK mulls broadening retail access to long-term asset funds 234 CompliNEWS 29 Jul 2022
Companies targeted over failing transformation drive, non-compliance prevails 234 CompliNEWS 29 Jul 2022
Increase in fraudulent insurance claims 234 CompliNEWS 29 Jul 2022
Just Share takes aim at Absa's climate policies 234 CompliNEWS 29 Jul 2022
South Africans falling prey to phishing scams – survey 234 CompliNEWS 29 Jul 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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