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June 2020

Effective CASS Record Keeping and Reconciliations

A Practical & Interactive Workshop

Gain insight into intra-day funding, custody shortfalls, traded vs settled debate and much more!

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Key Features

Sustaining compliant and cost effective client money and custody record keeping and reconciliation procedures remains perhaps the greatest challenge to firms subject to the CASS regime.

This interactive workshop will discuss some of the most common practical issues and hot topics and provide insightful solutions, including approaches to resolving reconciliation problems, intraday and shortfall funding, record keeping breach qualification and addressing the “traded v settled” debate.

Key Objectives
Key Objectives

Attending this workshop will increase your knowledge in: 

  • CASS record keeping and reconciliation good practice
  • Developing appropriate CASS policies
  • Mitigating CASS risk cost efficiently

Who Should Attend?
Who Should Attend?
  • People holding the client money oversight function and certified individuals
  • Operations and investment administration managers
  • CASS SME’s

  • Compliance, risk and internal audit specialists

Key Themes
Key Themes
  • Custody shortfalls
  • Intra-Day Funding
  • Internal Client Money Reconciliations
  • Reconciliation Break Resolution

Meet Your Workshop Leader!

Karen Bond has more than 30 years’ financial services experience, including roles as COO and working in a front office. As a consultant, she has worked for a range of firms, including banks, platforms, wealth managers, fund managers, derivatives firms and outsource and systems providers. She uses her operational experience and deep knowledge of the CASS rules to provide pragmatic advice on achieving compliance with these requirements. Assignments include remediation; new supplier implementation; healthcheck reviews of CASS processes, governance and structures; support for FCA visits and s166 reviews and provision of extensive training across the full range of firms, including external auditors. She provides training to the full range of affected individuals, from customer services and product development teams  through to Board members and NED’s.

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