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Headline Issue Diary Date
Solicitors charged with stealing £20m of investors’ money 217 CompliNEWS 01 Apr 2022
Update on FAIS and FICA regulatory reporting 216 CompliNEWS 25 Mar 2022
Post-disaster regulations gazetted 216 CompliNEWS 25 Mar 2022
UK's FCA fines Gam £9.1m (R173.3m) for conflicts of interest 216 CompliNEWS 25 Mar 2022
Department defends NHI oversight role 216 CompliNEWS 25 Mar 2022
Exemption of managers of hedge funds from certain requirements in Notice 778 of 2011 216 CompliNEWS 25 Mar 2022
More motor vehicle dealerships fined by the Financial Intelligence Centre (FIC) 216 CompliNEWS 25 Mar 2022
FSCA webinar recordings – debarment, premium collection 216 CompliNEWS 25 Mar 2022
FAIS Ombud on settled complaint – funeral insurance 216 CompliNEWS 25 Mar 2022
The EU’s High Risk Third Countries list 216 CompliNEWS 25 Mar 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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