Managing your Systems and Compliance
Jul 12, 2011
It shouldn’t take high-profile data breaches (The News of the World, Sony, etc) to alert business owners to the need for proper security. Despite this, we often meet business owners who are not taking the threat of poor security seriously enough. There is definitely a bit of the ‘it won’t happen to me’ mentality going on here. There’s also a willingness to leave more junior members of staff to sort out security. This isn’t good enough – and you shouldn’t accept it in your business.
Jul 16, 2007
Ann Dempster, Managing Director of Plum Software, looks at how a good software package can aid compliance
Ever since the first financial adviser offered the first financial product to the first customer, different slogans have been issued by regulators and other authorities in the advisory market – notable examples include: “give best advice” “know your client” - and now “treat your customers fairly” (TCF). TCF is central to the delivery of the FSA’s retail regulatory agenda as well as being a key part of the move to a more principles-based approach to regulation. An initial deadline of March 2007 was set for firms to reach the implementation of TCF.
Sep 19, 2006
Ann Dempster, managing director of Plum Software, explains the importance of backing up your data
Feb 21, 2006
Have you ever had a scare in your business such as a burglary, computer virus or even a fire? Unfortunately, these incidents usually spur businesses into thinking about creating a disaster recovery plan, when it is too late. Even those who do have a plan find that staff have short memories and processes can be quickly forgotten.
Nov 28, 2005
Compliance issues within the financial services industry are continually growing. Unprecedented pressures are being put upon regulated advisers to produce reliable, relevant financial information in a short timescale and report these to the FSA. Many advisers find this regulatory burden hard to deal with.
Aug 30, 2005
Ann Dempster, MD of Plum Software, explains how technology can help advisers manage pensions effectively
Sep 05, 2003
August once again saw a rash of computer viruses. I have heard reports that some people are receiving as many as 50 infected emails a day. The Symantec web site lists no fewer than 100 different virus and security alerts for August and other commentators suggest as many as 500 viruses are discovered each month.
Jun 01, 2003
Training can be an expensive investment often costing more than the software initially, so it is important to ensure that it is effective. All too often training is not properly planned and can end up being wasted which leads many businesses, particularly when times are a bit hard, to cut corners or not to bother.