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Headline Issue Diary Date
Summary of FST decision – Nicolaas Jacobus Du Plessis Wessels and African Wealth Organisation (debarment) 207 CompliNEWS 23 Jan 2022
Ex SARS employee gets 12 years' jail time for R6m fraud, money laundering 207 CompliNEWS 23 Jan 2022
SA loses more ground in corruption fight 207 CompliNEWS 23 Jan 2022
Insurance underwriter challenges PA curatorship 207 CompliNEWS 23 Jan 2022
FAIS Ombud office relocation 207 CompliNEWS 23 Jan 2022
FSCA – FAQs about reporting obligations and webinar 207 CompliNEWS 23 Jan 2022
UK regulator to strengthen rules on how high-risk financial products are marketed 207 CompliNEWS 23 Jan 2022
Australia regulator expands money laundering probe at casino 207 CompliNEWS 23 Jan 2022
NFTs and money laundering 207 CompliNEWS 23 Jan 2022
RiskScreen case study – NatWest AML failures, what went wrong? 207 CompliNEWS 23 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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