MANAGING CASS COMPLIANCE WORKSHOP OVERVIEW - WHY SHOULD YOU ATTEND?
- The responsibilities of the regulated firm and outsourced service provider
- Findings from recent FCA thematic visits
- Overseeing outsourced CASS functions in practice
- Successes and failures – case studies
- Managing change as an outsourced service provider
- Developing an effective CASS control framework
- CASS breach reporting requirements
- Best practice approaches to breach escalation and management, including remedial action
ATTENDING THIS WORKSHOP WILL INCREASE YOUR KNOWLEDGE IN
- CASS compliance expectations in the light of recent FCA thematic reviews of outsourcing
- Evidencing effective oversight in outsourcing arrangements
- Developing and maintaining robust CASS controls frameworks
- Managing breaches and remedial action efficiently
Meet Your Expert Workshop Leader
With over 20 years experience in senior roles with Big 4 and other significant accountancy and advisory firms, Kevin is a widely respected figure in the world of Client Assets regulation drawing upon operational insight from many major engagements at banks, brokers, asset managers and third party administrators.
Since January 2015, Kevin has led his own advisory firm, Prin10 Limited, and in July 2015 became the CASS operational oversight function holder (CF10a) for RBS Asset Management (ACD) Limited.
HEAR WHAT PREVIOUS DELEGATES HAVE TO SAY ABOUT OUR CASS EVENTS!
A very useful session to get a view on the industries challenges at a time of significant regulatory change.
Head of CASS
An event that provides a more practical overview of CASS rather than reading the rules line by line.
Technical Investment Reporting Manager
Can't make the workshops on the day? Have a team you would like to all learn together? Want the agenda tailored specifically for you? In-house training is the answer!
These workshops can be specially tailored to place an emphasis on your own business objectives, incorporating case studies and examples from your company or business sector.
Email us to enquire about getting a programme set up for you.
1-3 Bonhill Street