Close This website uses modern features that are not supported by your browser. Click here for more information.
Please upgrade to a modern browser to view this website properly. Google Chrome Mozilla Firefox Opera Safari
Financial Services Intelligence Watch
Sub Menu
Search

Stories

Search

Filter
Filter
Filter
Filter
Headline Issue Diary Date
US' FINRA fines Deutsche Bank Securities, Inc. $2 million for best execution violations 214 CompliNEWS 11 Mar 2022
US' SEC charges call centre operators in $58 million penny stock scheme 214 CompliNEWS 11 Mar 2022
UK's FCA to consult on use of 'side pockets' for retail funds with exposure to sanctioned and suspended Russian assets 214 CompliNEWS 11 Mar 2022
Remote learning in a hybrid organisation 214 CompliNEWS 11 Mar 2022
Constitutional Court – Summary of judgment involving Barnard Labuschagne Incorporated, SARS and Minister of Finance 214 CompliNEWS 11 Mar 2022
Estonian FinTech AML pilot shows what’s possible when tackling financial crime 214 CompliNEWS 11 Mar 2022
Insight into Russia and Sanctions: What Happens Next? (US) 214 CompliNEWS 11 Mar 2022
Private equity set a new standard for itself in 2021 214 CompliNEWS 11 Mar 2022
Old Mutual private equity plans to separate Long4Life's three main businesses 214 CompliNEWS 11 Mar 2022
Durban investment company implicated in R160m fraud 214 CompliNEWS 11 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.

We use cookies to give you a personalised experience that suits your online behaviour on our websites. Otherwise, you may click here to learn more, or learn how to block or disable cookies. Disabling cookies might cause you to experience difficulties on our website as some functionality relies on cookie information. You can change your mind at any time by visiting “Cookie Preferences”. Any personal data about you will be used as described in our Privacy Policy.