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Headline Issue Diary Date
UK's FCA fines guarantor lender TFS Loans Ltd over £800,000 (R16-million) and requires it to provide redress to affected guarantors 227 CompliNEWS 12 Jun 2022
UK regulatory speech – Innovation & Regulation: partners in the success of financial services 227 CompliNEWS 12 Jun 2022
Sanctions compliance – avoiding compliance overkill – properly assess and manage tangible risks 227 CompliNEWS 12 Jun 2022
Financial Services Tribunal – T Van Der Merwe (Bornman) v PFA and Another (Pension fund benefits) 227 CompliNEWS 12 Jun 2022
Nedbank to appeal R2m illegal charge ruling 227 CompliNEWS 12 Jun 2022
FSCA appoints Statutory Manager for N-e-FG Administrators (Pty) Ltd 227 CompliNEWS 12 Jun 2022
Subscribers' Note 226 CompliNEWS 03 Jun 2022
Aussie regulator releases Information Sheet on warnings and reprimands given to financial advisers 226 CompliNEWS 03 Jun 2022
High Court Judgment – Sunward Motors v FIC 226 CompliNEWS 03 Jun 2022
R1.5bn tax assessment against family trust 226 CompliNEWS 03 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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