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Headline Issue Diary Date
FSCA suspends over 650 FSPs for non-compliance 226 CompliNEWS 03 Jun 2022
SEC charges compliance officer with stealing from clients, details elaborate coverup 226 CompliNEWS 03 Jun 2022
South Africans can’t afford to retire – survey 226 CompliNEWS 03 Jun 2022
Financial outflows expected after offshore rules change 226 CompliNEWS 03 Jun 2022
Hedge fund sues London Metal Exchange over nickel trades 226 CompliNEWS 03 Jun 2022
SARS lists those expected to submit returns 226 CompliNEWS 03 Jun 2022
SARB grapples with R500 banknote and R10 coin 226 CompliNEWS 03 Jun 2022
Tribunal sends Sharemax determination back to the FAIS Ombud for a second time, 14 years after investment was made 226 CompliNEWS 03 Jun 2022
Proposed PA Directive – Inclusion of excess cash reserves in high-quality liquid assets 226 CompliNEWS 03 Jun 2022
Budapest Convention 2.0 – The Convention on Cybercrime 226 CompliNEWS 03 Jun 2022
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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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