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Headline Issue Diary Date
Russia sanctions news 225 CompliNEWS 27 May 2022
US SEC fines Wells Fargo Advisors for violating AML 225 CompliNEWS 27 May 2022
Private equity diversification 225 CompliNEWS 27 May 2022
Private equity firms can be catalysts in fighting climate change 225 CompliNEWS 27 May 2022
GDPR – Four years on 225 CompliNEWS 27 May 2022
Banks face compliance obligations on climate risk management 225 CompliNEWS 27 May 2022
Data compliance is critical 225 CompliNEWS 27 May 2022
Free State High Court – Ioannides NO v Western International Insurance Company Limited (Cancellation of insurance contracts by insurer – non-disclosure of material facts) 225 CompliNEWS 27 May 2022
New Reserve Bank framework from next week; SA revamping its processes for placing troubled financial institutions under administration 225 CompliNEWS 27 May 2022
Amendments to JSE Derivatives Rules – Delta Option Trades And Structured Option Trades come into force 22 June 2022 225 CompliNEWS 27 May 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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