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Covid-19 has forced many firms to review their governance arrangements, rapidly train unapproved persons to take on regulated responsibilities and somehow maintain oversight and delegation of staff working remotely.
In this podcast, Julie Pardy, Director Worksmart & Adrian Harvey, CEO of Elephants don't forget discuss why firms now, not after the crisis, need to build on and strengthen their current SM&CR approach now more than ever.
The FCA may well have been forced to prioritise their response to COVID-19, but two 'Dear CEO' letters issued earlier this year to firms highlights the regulator's expectation for all regulated businesses to develop a strong culture of 'good conduct, integrity and compliance.'
After our most popular webinar to date on ‘How to get reported, fined and investigated by the FCA in 2020’, webinar panelists Adrian Harvey, CEO, Elephants Don’t Forget and Julie Pardy, Director, Worksmart analyse the responses and opinions shared by over 250 risk and compliance professionals.
Over the next weeks and months regulated firms will face the dual challenge of handling an unprecedented volume of calls from distressed clients and vulnerable customers with far fewer trained staff.
In this podcast, Adrian Harvey, CEO, Elephants don’t forget and Anthony Eghan, Worksmart discuss together with Caroline and Sarah the questions raised during the webinar.
It's second nature for risk and compliance professionals in regulated firms to quantify financial risks, but when it comes to measuring employee or people risk many firms are at a loss, often relying on imprecise methods, or some cases guesswork to assess the degree of risk individuals or a group of employees may pose to a firm.
In this podcast, Adrian Harvey, CEO, Elephants don't forget and Grant Kennedy, Director, KRisk discuss how new data-driven approaches to employee risk can address your most significant risk blind spots and accelerate you towards developing a compliance culture.
The regulator hates it, your employees despise it and your customers suffer because of it, so, why in 2020, when managing compliance risk has become more and more complex are regulated firms still taking a tick box approach to their compliance training?
In this podcast, Adrian Harvey, CEO of Elephants Don’t Forget, discusses with Professor of Applied Science of Reading University Patricia Riddle and Andy Hurren, Global Head of Learning at ERM the audience poll results from our recent webinar ‘Thinking outside the (tick) box’. We also share some key strategies firms must employ not only to deliver compliance training but positively change behaviour and culture.
Across all regulated industries firms are grappling with the issue of handling vulnerable customers. Regulators now want to see firms explicitly embed the fair treatment of vulnerable consumers into their culture. Critical to achieving this, the regulator believes, is how a firm understands the needs of vulnerable consumers, develops the skills and capability of staff, takes practical action, and undertakes monitoring and evaluation.
In this podcast, Adrian Harvey, CEO of elephants don’t forget discusses with Caroline Wells - a Commissioner on Energy UK’s Commission for Customers in Vulnerable Circumstances and the former Head of Consumer Insight at The Financial Ombudsman Service - on how regulated firms can respond to the rising expectations of the regulator by improving the vulnerable customers knowledge and competency of staff in the first line.
You will often now find an FCA enforcer ‘walking the floor’ in a regulated financial firm, randomly asking front-line staff about their understanding of how Conduct and Culture rules play out in their day-to-day work.
Adrian Harvey, CEO of Elephants don't Forget sat down with Dr. Roger Miles, co-founder of The UK Finance Conduct and Culture Academy to discuss the regulators increasing focus on bias and how regulated firms can practically address the bias affect through the use of AI.
The time when the focus of the Compliance function was solely to assess, monitor and report compliance with relevant rules and regulations has passed. But what of the future?
Adrian Harvey, CEO of Elephants Don't Forget, discusses with former Head of Compliance and co-founder of the UK Finance Conduct and Culture Academy, Patrick Butler, about turning your compliance activities into a competitive advantage.
For our first webinar to discuss 'Are you ready for a regulatory visit?' we were delighted to be joined by ex FCA regulator #LucyMcClements whose key take away for regulated firms was simple, get your people prepared!