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December 2019

Preparing for CASS Audits

Learn how to demonstrate CASS oversight, spot regulatory red flags and respond to audit findings!

Practitioner-Led - Real-Life Experiences

Key Features

Following the changes to the FRC CASS assurance standards in 2016 the industry has seen a sharp decline in the number of ‘clean’ CASS audits and many firms have had to make changes to their internal controls environment in order to meet the audit standard and to demonstrate effective CASS oversight. This workshop provides practical advice on how to manage a CASS audit.

Key Objectives

Attending this workshop will increase your knowledge in: 

  • How to successful manage your CASS audit
  • How to identify the key risk areas for review
  • Responding to CASS audit findings
  • How to demonstrate effective CASS oversight
  • Understanding the regulatory ‘red flags’ that could trigger an adverse audit finding or regulatory visit

Who Should Attend?

This workshop is designed for risk and compliance professionals and those responsible for CASS oversight such as CF10a’s, Compliance managers and CASS SMEs; however, whilst the principles demonstrated have a CASS focus they can of course be applied to any area of the business.


Key Themes
  • Changes to the audit environment
  • Preparing for a CASS RP visit
  • Client asset considerations
  • Client money hot topics
  • Preparing for an FCA interview

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. Stewart also sits on the CISI Client Money & Assets panel.