- The Auditor's Perspective
CASS Assurance Standards – What does it require in practice?
- Understanding the Impact of SMR on the role of the CF10a
Key Reasons for Attendance
This concise conference is a perfect opportunity to get up-to-date on the latest regulatory developments affecting client assets protection, such as the Senior Managers Regime and MiFID II and benchmark your practices against industry best practice.
With comprehensive coverage of compliance in outsourcing, the new assurance standard and auditor insights into key issues, this is the premier event for anyone working with client assets.
- Establishing a CASS Culture
- Regulatory changes impacting client assets operations
- Understanding how to manage an audit under the new FRC standard
Meet Our Expert Speakers
Client Assets Governance and MI
- FCA expectations for CASS governance. What can we learn from recent enforcement actions? •
- Impact of the new CASS audit regime – governance under the spotlight
- Group session – CASS governance successes and failures
- CASS from a Board perspective. Conflicting priorities?
- The challenge of developing an insolvency mind-set
- Best practice CASS governance components
- Governance and oversight in Group scenarios
- Oversight of outsourcing arrangements – getting the balance right•
- Creating appropriate CASS policies
- Control frameworks – from theory into practice
- Effectively leveraging the three lines of defence
- Group session – developing CASS MI
- Building effective MI and key performance indicators to monitor CASS risk and controls performance
- Strengthening governance and reducing costs – mutually exclusive?
ATTENDING THIS WORKSHOP WILL INCREASE YOUR KNOWLEDGE IN
- CASS governance and oversight best practice
- Maintaining robust control frameworks
- Effective oversight approaches in outsourcing arrangements•
- Evidencing CASS compliance through effective MI
Get to Grips with the new Assurance Standard and Outsourcing Compliance - Two Concise and Separately Bookable Post-Conference Workshops
Who Should Attend?
- CF10a and Deputies
- CASS Managers
- Operations Professionals
CASS Reasonable Assurance – Impacts of the New FRC Standards
- An overview of recent experiences from firms who have undergone CASS audits to the new FRC standards
- What has the scope of the work been – and to what level of detail?
- Rules mapping, risks and controls – how auditors have assessed these and what differences have been seen in approaches and formats•
- What other evidence have auditors required to support and expedite their work?
- Auditor approaches and expectations in relation to proving good governance and culture
- Maintaining and updating to meet next year’s expectations
Managing Outsource Providers – Lessons Learned
- A review of recent developments in regulatory expectations for outsourced services affecting CASS and their impacts
- The components of outsourced provider management and oversight, including;
- Day to day oversight
- Active relationship management
- Three lines of defence
- Change management, including best practice standards
- Managing issues and breaches/improving controls and addressing root causes