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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!


Register for Effective CASS Record Keeping and Reconciliations and CASS Oversight for Risk and Compliance Specialists and receive an additional £200 discount.

Key Features

Key Objectives

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
  • CASS SME’s

  • Compliance, risk and internal audit specialists

Key Themes
  • 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.