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Headline Issue Diary Date
Treating customers fairly – management information (MI) 217 CompliNEWS 01 Apr 2022
UK's ICO fines company for sending thousands of spam text messages during the pandemic 217 CompliNEWS 01 Apr 2022
Building a digital regulator: how the UK's FCA is riding the innovation wave ... 217 CompliNEWS 01 Apr 2022
Webber Wentzel releases publication detailing 22 legal developments to monitor in 2022 217 CompliNEWS 01 Apr 2022
Aussie regulator takes action against Macquarie Bank for alleged failures to properly monitor third-party withdrawals from customer accounts 217 CompliNEWS 01 Apr 2022
Companies Tribunal – Swiss Re Corporate Solutions Africa Ltd v CIPC (application to cancel or modify compliance notice – disclosure of directors’ or prescribed officers' remuneration) 217 CompliNEWS 01 Apr 2022
State of Disaster officially ends, but ... 217 CompliNEWS 01 Apr 2022
SARS now a key anti-corruption tool – Ramaphosa 217 CompliNEWS 01 Apr 2022
New rules for legal practitioners 217 CompliNEWS 01 Apr 2022
Assessment of inherent money laundering and terrorist financing risks in the motor vehicle dealership sector – FIC 217 CompliNEWS 01 Apr 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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