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Headline Issue Diary Date
UK data regulator unveils AI data protection risk toolkit 221 CompliNEWS 29 Apr 2022
European AML compliance efforts remain substandard – Moneyval report 221 CompliNEWS 29 Apr 2022
A first for Australia – Court finds firm failed to adequately manage cybersecurity risks 221 CompliNEWS 29 Apr 2022
'Sharing my screen cost me £48,000' – half of investors would miss signs of screen sharing scam as UK's FCA warns of 86% increase 221 CompliNEWS 29 Apr 2022
Challenge to proposed Covid-19 regulations dismissed 221 CompliNEWS 29 Apr 2022
Suspended curator linked to 3Sixty Life resigns 221 CompliNEWS 29 Apr 2022
Proposed Directive – Criteria for identifying simple, transparent and comparable term and short-term securitisations 221 CompliNEWS 29 Apr 2022
Commencement of certain provisions of the Financial Sector Laws Amendment Act 221 CompliNEWS 29 Apr 2022
Testing a culture of compliance 221 CompliNEWS 29 Apr 2022
FIC warns on scam notices 221 CompliNEWS 29 Apr 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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