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Headline Issue Diary Date
Denmark regulator says Unibet must fix AML issues 211 CompliNEWS 20 Feb 2022
UK – HMRC AML visit costs £16k+ penalty for small firm 211 CompliNEWS 20 Feb 2022
Online payments service fined in Sweden for AML failings 211 CompliNEWS 20 Feb 2022
SAVCA – Government and private sector to bolster efforts at increasing investor confidence and economic growth 211 CompliNEWS 20 Feb 2022
US report – Record year for private equity dealmaking 211 CompliNEWS 20 Feb 2022
FSCA fines Pioneer FX & Quintin Moorcroft R2m jointly and debars Quintin Moorcroft for 10 years for contravening financial sector laws 211 CompliNEWS 20 Feb 2022
Developments in UK crypto space could provide clues into SA regulation plans 211 CompliNEWS 20 Feb 2022
Whistleblower House to provide protection 211 CompliNEWS 20 Feb 2022
New Russian financial sanctions, Ukraine 211 CompliNEWS 20 Feb 2022
Company directors allegedly swindled investors out of millions 211 CompliNEWS 20 Feb 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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