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Headline Issue Diary Date
Australian man sentenced for insider trading 228 CompliNEWS 17 Jun 2022
False and misleading marketing fine imposed in Australia 228 CompliNEWS 17 Jun 2022
ESG and regulation 228 CompliNEWS 17 Jun 2022
FSCA RF Notice 10 of 2022 – FSCA intends to cancel the registration of 58 pension funds; comments due by 17 July 2022 228 CompliNEWS 17 Jun 2022
Five things information officers and octopuses have in common; white paper on cookies 228 CompliNEWS 17 Jun 2022
The UK's progress in strengthening measures to tackle money laundering and terrorist financing 228 CompliNEWS 17 Jun 2022
Does your whistle-blowing hotline comply with POPIA? Benchmarking – Italian case re non-compliance with GDPR 228 CompliNEWS 17 Jun 2022
Guidance Note issued in terms of Banks Act – Supervisory guidelines for matters related to the prevention of banks or controlling companies being used for any money laundering or other unlawful activity 228 CompliNEWS 17 Jun 2022
Outcomes FATF Plenary, 14–17 June 2022 228 CompliNEWS 17 Jun 2022
FATF – Jurisdictions under increased monitoring – June 2022; Malta removed from the grey list 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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