Whilst the CASS regime has been in place for many years, the evolution of the CASS oversight function is a more recent phenomenon driven by the FCA’s Senior Managers and Certification and Approved Persons Regimes and the increasing demands of the external CASS audit.
This interactive workshop will discuss how to establish and sustain an effective CASS oversight function appropriate to the size and complexity of your business, including establishing appropriate CASS policies and efficient monitoring programmes.
It also includes an opportunity to discuss any CASS technical and rule interpretation issues which may be causing you concern.
Attending this workshop will increase your knowledge in:
- CASS governance and oversight good practice
- Developing appropriate CASS policies
- CASS compliance monitoring approaches
- Mitigating CASS risk cost efficiently
Who Should Attend?
- People holding the client money oversight function, CF10a and SMF18
- Senior operations management
- Compliance, risk and internal audit specialists
- Operations personnel
- Understand how to establish and sustain an effective CASS oversight function
- Learn more about good practice CASS governance
- Formulate appropriate CASS policies
- Develop cost efficient approaches to CASS compliance monitoring
- Implement robust CMAR reporting procedures
Meet Your Workshop Leader!
With over 20 years experience in senior roles with Big 4 and other significant accountancy and advisory firms, Kevin Huby 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 the CASS operational oversight function holder for Hoare & Co, RBS Asset Management (ACD) 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.