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Headline Issue Diary Date
Australian regulator places first DDO stop orders to prevent offer of financial products to consumers 233 CompliNEWS 22 Jul 2022
Retaining the trust of consumers 233 CompliNEWS 22 Jul 2022
The FCA’s Consumer Duty will lead to a major shift in financial services in the UK 233 CompliNEWS 22 Jul 2022
The cross-sectoral Conduct of Business Return enters Phase 1 – Industry comments due by 10 August; workshops now available on YouTube 233 CompliNEWS 22 Jul 2022
Unlicensed forex trader goes offline 233 CompliNEWS 22 Jul 2022
Prudential Authority publishes risk assessment for the banking and insurance sector, other recent regulatory releases 233 CompliNEWS 22 Jul 2022
UK and US Data Access Agreement to come into force on 3 October 2022 233 CompliNEWS 22 Jul 2022
Jacomina Spies v FAIS Ombud (Financial Services Tribunal ruling involving Sharemax investment) 233 CompliNEWS 22 Jul 2022
Draft Legal Sector Code published for comment 233 CompliNEWS 22 Jul 2022
Sekunjalo seeks Mpati report review 233 CompliNEWS 22 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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