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Headline Issue Diary Date
FIC warns of financial crime risk in the real estate sector 215 CompliNEWS 17 Mar 2022
FIC warns of financial crime risk involving legal practitioners 215 CompliNEWS 17 Mar 2022
SAVCA Private Equity Conference 2022 215 CompliNEWS 17 Mar 2022
Australian regulator issues information for social media influencers and licensees 215 CompliNEWS 17 Mar 2022
Advisers need to talk to clients about 'crypto' 215 CompliNEWS 17 Mar 2022
FIC warns of Krugerrand financial crime risk 215 CompliNEWS 17 Mar 2022
UK FCA Research Note – Do consumers understand the risks associated with different ways of saving? 215 CompliNEWS 17 Mar 2022
Enforcement action against UK FSP by UK's data protection regulator; 'failed' to provide data to two clients concerning their personal pensions 215 CompliNEWS 17 Mar 2022
Recommended reading from FT Adviser – The future of advice and how meaningful conversations strengthen client relationships; vulnerable clients 215 CompliNEWS 17 Mar 2022
The UK’s data protection regulator issues a monetary penalty notice to professional services firm after ransomware attack 215 CompliNEWS 17 Mar 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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