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Headline Issue Diary Date
MTI liquidators hit back at investors 210 CompliNEWS 04 Feb 2022
EU questions Google Analytics' ability to protect data 210 CompliNEWS 04 Feb 2022
Preventing meeting overload 210 CompliNEWS 04 Feb 2022
Importance of values-driven and ethics-based corporate culture – report 34 CompliNEWS Ethics 09 Feb 2022
Compliance into the Weeds podcast 209 CompliNEWS 04 Feb 2022
International webcast – Tales of compliance officers responding to the changing compliance environment 209 CompliNEWS 04 Feb 2022
Banks face compliance ‘nightmare’ over looming Russia sanctions 209 CompliNEWS 04 Feb 2022
Just in – Financial Services Tribunal – Shamim Mansoor v Momentum Wealth and PFA 209 CompliNEWS 04 Feb 2022
US SEC proposes Cybersecurity Risk Management Rules and amendments for registered investment advisers, funds; new settlement rules 209 CompliNEWS 04 Feb 2022
US SEC proposes to enhance private equity investor protection 209 CompliNEWS 04 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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