CASS Challenges and Controls: Resilient Responses for Regulations

CASS CHALLENGES AND CONTROLS: RESILIENT RESPONSES FOR REGULATIONS

Thursday 13th August 2020 

10:00-11:00

 

The challenges of the last few months and new working arrangements have prompted concerns around additional breaches of CASS rules. Auditors concerned about their ability to meet the four-month deadline are referring to rules governing these delays and are reminded of their statutory duty to report any significant matters with compliance. Cheque handling, physical asset reconciliations, client money deposits and delays to agreed improvement processes are other issues which are being tackled to ensure regulatory obligations continue to be met.

 

This briefing will focus on how to prepare for a successful audit, things that are concerning the regulator and a practical approach to appropriate solutions.

 

Speakers include:

  • Deloitte LLP
  • Cashfac
  • Walbrook Partners

 Complimentary places are available to senior level individuals at regulated investment firms. 

 

This session is run in partnership with Cashfac.

Training and Venue Information

CPD Authorised Yes
Event Date 13-08-2020
Event End Date 13-08-2020
Event Time 10:00 - 11:00
Price £0
923