#1 Are you ready for a Regulatory visit? by Elephants Don't Forget published on 2019-08-02T10:19:26Z Adrian Harvey, CEO of Elephants don't forget, discusses the need for regulated firms to ensure their people are prepared for a Regulatory visit with Lucy McClements, ex FCA Regulator. Key discussion highlights include: [00:00:22] Top tips for preparing for a regulatory visit [00:01:07] How firms might go about testing culture in an organisation [00:03:09] The key questions the FCA will ask your non-executive directors [00:04:17] Evidencing to the regulator that your firm has a good culture [00:05:42] How to demonstrate Reasonable Steps to the regulator [00:07:05] Evidencing that your people are ‘Fit & Proper’ [00:08:30] Improving the competency of your staff [00:09:36] Leveraging AI to meet the regulators expectations Genre Business
