27 June 2019
Effective CASS Record Keeping and Reconciliations
A Practical & Interactive Workshop
Gain insight into intra-day funding, custody shortfalls, traded vs settled debate and much more!
Sustaining compliant and cost effective client money and custody record keeping and reconciliation procedures remains perhaps the greatest challenge to firms subject to the CASS regime.
This interactive workshop will discuss some of the most common practical issues and hot topics and provide insightful solutions, including approaches to resolving reconciliation problems, intraday and shortfall funding, record keeping breach qualification and addressing the “traded v settled” debate.
Attending this workshop will increase your knowledge in:
- CASS record keeping and reconciliation good practice
- Developing appropriate CASS policies
- Mitigating CASS risk cost efficiently
Who Should Attend?
- People holding the client money oversight function and certified individuals
- Operations and investment administration managers
Compliance, risk and internal audit specialists
- Custody shortfalls
- Intra-Day Funding
- Internal Client Money Reconciliations
- Reconciliation Break Resolution
Meet Your Workshop Leader!
With around 25 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 consultancy firm, Prin10 Limited. He is currently the CASS operational oversight function holder for Monex Europe Markets Limited and key advisor to a number of other firms. Kevin also helped design, and provides the expert content for, the ground breaking Axiom for CASS software platform.