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Headline Issue Diary Date
Financial Intelligence Centre – Draft proliferation financing and data protection public compliance communications released 231 CompliNEWS 11 Jul 2022
Compliance & Market Conduct – 'Conduct: The dominant regulatory theme' 230 CompliNEWS 03 Jul 2022
Draft amendments to the Rules on the Proceedings of the Office of the Ombud for Financial Services Providers – Will compensation limit be increased to R3.5m? 230 CompliNEWS 03 Jul 2022
FSCA sends reminder out around draft levy notice for financial institutions 230 CompliNEWS 03 Jul 2022
Guidance on information processing in terms of the Financial Intelligence Centre Act in relation to data protection (PoPIA) 230 CompliNEWS 03 Jul 2022
UK regulator issues policy statement protecting investors in authorised funds following the Russian invasion of Ukraine 230 CompliNEWS 03 Jul 2022
Latest FAIS notices 230 CompliNEWS 03 Jul 2022
Financial Services Tribunal – Summary of determination involving Trudy-Lee Shaw and FSCA and Others (powers of FSCA – pension fund liquidation) 230 CompliNEWS 03 Jul 2022
Financial Services Tribunal – Summary of determination involving Thireshen Vather, King Price Insurance Company Ltd (debarment) 230 CompliNEWS 03 Jul 2022
Three ways to improve employee retention 230 CompliNEWS 03 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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