26 June 2019
CASS oversight for risk and compliance specialists
A Practical & Interactive Workshop
Understand how to establish and sustain an effective CASS second and third line of defence
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?
This event will be relevant to all firms who hold client assets. It will be of particular value to CASS SME’s, compliance, risk and internal audit specialists.
- CASS compliance monitoring – what testing is required and who should do it?
- Breach qualification – issue, breach or notifiable breach?
- CASS from a Board perspective – resolving conflicting priorities
- Outsourcing oversight – do we need a different approach?
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.