- Governance and oversight
- Risk management and the three lines of defence
- Rules mapping
- Prudent segregation
- Use of ‘internal’ and ‘external’ outsourcing for administration and IT suppliers
- Managing auditor expectations
- Maintaining living documentation
- Understanding the new FRC Regime
This workshop is an opportunity to share practical lessons in embedding the response to PS 14/9 and the challenges around this raised by auditors applicable to a broad range of organisations.
This will help you meet the critical challenges and pressure points in maintaining the highest standards of CASS compliance.
Who Should Attend?
This is aimed at those with responsibility for setting policy and ultimately taking decisions affecting the end to end compliance with CASS.
It is principally aimed at those with operational and compliance oversight for CASS (CF10a and CF10) and similarly senior practitioners from finance, compliance, client servicing and investor operations.
Meet Your Workshop Leaders!
Our workshop leaders Sarah Ouarbya and Edward Westrip from Mazars are highly experienced professionals with FRC and FCA experience.
Read more about them by clicking the button below!
Infoline workshops are always very engaging and well attended!
A very useful session to get a view on the industries challenges at a time of significant regulatory change.
Head of CASS
Anyone involved in the client asset protection should attend these helpful conferences.