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28 June 2018
KNect House,

Maintaining an Effective CASS Oversight Function

Establishing and Sustaining a Robust Control Framework

A Practical and Interactive Workshop - Led by a CF10a


Register for Maintaining an effective CASS oversight function and Addressing the challenges of CASS MI  and receive an additional £200 discount

Key Features!

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?
  • People holding the client money oversight function, CF10a and SMF18
  • Senior operations management
  • Compliance, risk and internal audit specialists
  • Operations personnel
Key Themes
  • 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.