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Headline Issue Diary Date
Allianz Global Investors agrees to pay more than $1bn to resolve SEC charges 224 CompliNEWS 22 May 2022
SEC charges Wells Fargo Advisors with anti-money laundering related violations 224 CompliNEWS 22 May 2022
UK's FCA speech – 'Listening up to level up – regulating finance for the whole of the UK' 224 CompliNEWS 22 May 2022
UK's FCA strengthens consumer protection by speeding up removal of firms that do not use their regulatory permission 224 CompliNEWS 22 May 2022
Can advisers afford to avoid crypto? 224 CompliNEWS 22 May 2022
Stop the avalanche of regulations – Investec bosses 224 CompliNEWS 22 May 2022
Gauteng High Court (JHB) – Blackspear Holdings v Bryte Insurance (Sasria) 224 CompliNEWS 22 May 2022
Regulator mulls Jooste insider trading penalties for warning friends, R53bn in claims lodged over Steinhoff fraud 224 CompliNEWS 22 May 2022
FSCA Information Request 4 of 2022 – RFI aimed at financial institutions, namely banks, credit providers operating in the VAF environment and motor vehicle dealers 223 CompliNEWS 15 May 2022
Warning: scammers offering fake green bonds 223 CompliNEWS 15 May 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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