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Headline Issue Diary Date
Australian advice firm to pay $6 million penalty, its representative to pay $80,000 penalty for advice and oversight failings 208 CompliNEWS 28 Jan 2022
NAMFISA complaints and latest quarterly report 208 CompliNEWS 28 Jan 2022
NAMFISA cautions the public on bank card and pin code retention by microlenders 208 CompliNEWS 28 Jan 2022
Top compliance tips for the Namibian financial services sector in 2022 208 CompliNEWS 28 Jan 2022
Record damages for banker given witch's hat! 208 CompliNEWS 28 Jan 2022
Financial Services Tribunal (FST): Markus Johannes Jooste v FSCA-Ocsan Investments Enterprises v FSCA 208 CompliNEWS 28 Jan 2022
Property: New regulatory authority for estate agents launched 208 CompliNEWS 28 Jan 2022
SARS flags massive tax fraud scheme 208 CompliNEWS 28 Jan 2022
Some stats from the FIC 208 CompliNEWS 28 Jan 2022
Latest FAIS Notices 208 CompliNEWS 28 Jan 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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