Advice Matters Magazine - 2023 | Edition 04 - ZISHI

The latest issue covers the ongoing importance of Consumer Duty, reinforced by a focus on the Dear CEO letter to financial firms. Articles also explore Private Equity and the necessity for regulatory oversight in Cryptocurrency.

IN THIS ISSUE:

  • Staying on Track: Crime Risks in the World of Cryptocurrency

  • Tech Check: An introduction to Private Equity

  • Skills & Expertise: Dear CEO Letter – Ignore it at your Peril

  • Links to FCA documents

  • Learning outcomes

  • The ApEx standards

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A number of you will be thinking I know where my year went, heavily involved in Consumer Duty and that would include a number of us also. But just because the implementation date has long since passed, it has to remain high on any firm’s agenda. We are now beginning to see the impact of those firms that haven’t taken the requirements as seriously as others. Our final article for this edition deals with just that subject majoring on the Dear CEO letter that went out to Wealth Management and Stockbroker Firms in October – never ignore a Dear CEO letter. Our other two articles are just as interesting and informative; An introduction to Private Equity and a topic that has been hotly debated at many a forum recently – Crime Risks in the World of Cryptocurrency – a need for greater regulatory oversight is a definite must as another route for money laundering.

Hopefully in 2024 we will see less fighting and war torn conflict and our thoughts go out to all those that are caught in the crossfire through no fault of their own.

On a happier note we would like to take this opportunity to wish everyone a very merry Christmas and holiday time coupled with a safe and prosperous 2024.

If you want to speak more about any regulatory conundrum you may have, please do not hesitate to contact us at Info@thezishi.com

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