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20-22 March 2018
Grange Tower Bridge Hotel,
London

9th UK Practitioners Forum on Client Assets Protection

The Premier CASS Event

Your one-stop-shop for updates on SMCR, CASS Audits & Outsourcing Oversight

HIGHLIGHTS

Key Sessions
  • The Auditor's Perspective
  • Understanding the Challenges of Stocklending in a CASS Context

  • MiFiD II 3 Months In - What Issues Remain?
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 & Certification 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. 

Key Themes
  • Compliance issues in outsourced & offshored operations
  • Regulatory changes impacting client assets operations
  • Understanding how to manage an audit under the new FRC standard

Pre-Conference Workshop - Client Assets Governance under the new Senior Managers and Certification Regime

MORNING SESSION
  • FCA expectations for CASS governance. What can we learn from recent enforcement actions?
  • Impact of the SMCR – approved persons v senior manager function holders v certified individuals
  • Expectations of function holders and certified individuals
  • CASS from a Board perspective. Conflicting priorities?
  • Best practice CASS governance components


AFTERNOON SESSION
  • Creating appropriate CASS policies
  • Control frameworks – from theory into practice
  • Effectively leveraging the three lines of defence
  • Is CASS oversight a full time role? Balancing responsibilities in the real world
  • Strengthening governance and reducing costs – mutually exclusive?


ATTENDING THIS WORKSHOP WILL INCREASE YOUR KNOWLEDGE IN
  • The new SMCR regime for FCA sole regulated firms
  • CASS governance and oversight best practice
  • Maintaining robust control frameworks
  • Developing appropriate CASS policies
  • Evidencing CASS compliance effectively


Post-Conference Workshop - Achieving successful CASS audit outcomes

MORNING SESSION
  • The role of the CASS auditor, audit objectives and requirements
  • Understanding the auditor’s mindset
  • The control environment – what the auditor is looking for
  • Audit qualifications – how they are arrived at and the consequences for firms
  • Successfully managing CASS audits from start to finish


AFTERNOON SESSION
  • Where’s the proof? Effectively evidencing CASS compliance
  • Issues, breaches and notifiable breaches – formulating appropriate policies
  • CASS risk assessment in practice
  • CASS audit clinic – practical tips on managing specific audit issues


ATTENDING THIS WORKSHOP WILL INCREASE YOUR KNOWLEDGE IN
  • CASS auditor expectations
  • Evidencing CASS compliance
  • Formulating breach qualification and notification policies
  • Maintaining robust control frameworks
  • Closing out audit issues


BECOME A 2018 PARTNER


The 9th UK Practitioners Forum on Client Assets Protection 2018 offers a variety of commercial opportunities to raise your profile to our focused audience of asset management professionals.

We tailor specific packages to help you meet and influence the people who are going to ensure the growth of your business now and in the future. 

With a clear understanding of your overall marketing strategy, we will work in partnership with you to develop a bespoke solution to meet your objectives. 

Get in touch with Jo Dixon to discuss speaking and exhibition opportunities.

Gold Sponsors

Media Partner