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Headline Issue Diary Date
UK's FCA fines insurance broker JLT Specialty Limited £7.8m (R153 million) for financial crime control failings 229 CompliNEWS 24 Jun 2022
Proposed implementation dates in respect of specified regulatory reforms (Basel III) 228 CompliNEWS 17 Jun 2022
Eleven trends that will influence business in 2022 – Part 2 228 CompliNEWS 17 Jun 2022
Last Covid-19 restrictions scrapped 228 CompliNEWS 17 Jun 2022
FSCA Communication 18 of 2022/ FSCA Information Request 5 of 2022 (RF) – RFI related to retirement funds paid-up members 228 CompliNEWS 17 Jun 2022
Latest FAIS notices 228 CompliNEWS 17 Jun 2022
FICA administrative sanction appeal in the matter Ravensberg Advisory & Consulting Services and the FSCA; settlement agreed 228 CompliNEWS 17 Jun 2022
Sharemax‘s ‘rescue vehicle’ selling investment properties 228 CompliNEWS 17 Jun 2022
Proposed Directive – Reporting requirements in terms of regulation 46 of the Regulations relating to banks 228 CompliNEWS 17 Jun 2022
Requirement to submit anti-money laundering and counter-financing of terrorism risk returns to the Prudential Authority on a periodic basis 228 CompliNEWS 17 Jun 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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