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June 2020

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


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Key Features!

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.

Key Objectives

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.

Key Themes
  • 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!

Stewart Lancaster is an author, speaker, independent consultant and CASS specialist having senior management & positions across a range of financial services firms over the last 15 years, specialising over the last 8 years in CASS where he has written extensively on the subject including authoring some of the industry qualifications and seminars.

Stewart is currently the Operational Regulatory Compliance Manager at Quilter Investors where he has day to day operational oversight for CASS, sits on the CISI Client Money & Assets panel.

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