Workshops: 10 & 12 June 2025
Client Assets Protection Forum
Your one-stop shop for updates on CASS audits, 3rd party outsourcing, the role of IT, change management, FCA updates, and much more!
What's in store for 2025?
Gain a solid understanding of your requirements for the next 12 months from the regulators, auditors and your industry counterparts.
Focusing on the basics of CASS and continuous improvement to your processes, as well as another workshop to be confirmed that will focus on the current top CASS priorities!
The premier CASS event
Just a sample of the companies that have attended over the last 15 years:
- FCA
- Close Brothers Asset Management
- Deloitte
- State Street
- PwC
- Northern Trust
- KPMG
- Aviva
- EY
Identify solutions to your common challenges
Hear from those in charge of CASS at some of the biggest firms on how they are tackling the most pressing challenges, including: prudent segregation, use of PSPs, TTCAs and access to bank accounts.
Conference Highlights
Understand how to implement the latest CASS priorities:
- Effective CASS rule mapping & audit
- Managing company outsourcing risk
- IT & change management
- The impact PSPs and E-money firms
- CASS from a Consumer Duty perspective
- Reviewing control frameworks in the CASS space
Two Separate practical workshops
- Basics of CASS compliance
- CASS & Third-Party Outsourcing
Learn to improve your processes around the auditors' biggest areas of focus
We'll hear the major auditors' focus points in our auditor expectations panel - hear directly from the auditors themselves which areas you should be focusing on.
20+ Speakers from a variety of financial backgrounds
- Regulators
- Auditors
- Banks
- Asset Managers
- Insurers
Benefit from the experience of our 2025 speaker line up, including:
2025 Pre-conference workshop: Effectively tackling the latest challenges in CASS
Compliance with the FCA’s Client Assets (CASS) rules presents many challenges to those firms who are subject to them. This workshop will outline how these challenges will impact an even wider range of firms, including payments and e-money firms.
Although these firms have been subjected to the safeguarding regime, consolidation of client protection under the CASS handbook represents a significant step change in expectations.
As well as acting as a timely refresher for those with CASS experience, this workshop will equip those who are new to the regime to tackle those challenges effectively.
Morning session highlights
Understanding the regulatory framework
- CASS rule objectives and key concepts
- Explicit and implicit requirements – the client and insolvency mindsets
- Regulator and auditor expectations
Creating an appropriate governance and oversight framework
- Practical challenges
- Managing outsourcing and offshoring
- Risk and control frameworks
- Creating an effective internal assurance programme through all three lines of defence
- Balancing compliance performance and cost efficiency
Afternoon session highlights
Managing effective CASS audits
- Understanding CASS audit requirements and assurance standards
- The auditor perspective
- Documenting processes and controls
- Handling conflict
CASS hot topics
- The role of payment service providers in investment money flows
- Title Transfer Collateral (TTCA) - Understanding the requirements in the context of exchange traded and over the counter (OTC) derivatives
- Building a CASS compliant TTCA regime
- The role of IT systems in CASS compliance and what CASS auditors look for in IT system assurance
- Generating income from client assets compliantly
Attending this workshop will increase your knowledge in:
- A comprehensive understanding of the CASS requirements as relevant to your firm
- Adopting a risk-based approach to oversight and monitoring
- Lessons learned from FCA enforcement actions
- How to mitigate risk of complacency when dealing with emdedded regulation
- A deeper understanding of the FCA’s expectations from a CASS perspective
Post-conference workshop: CASS & third-party outsourcing
This workshop is designed to act as a refresher for those involved in CASS for a period of time and as insight for those new to CASS. The workshop should act as a stimulus for delegates to go back to their firms and examine their own processes for managing third-party providers - a key current focus for auditors.
Morning session highlights
Looking at the obligations of CASS firms in relation to third parties
- Assuming full responsibility for all third-party actions
- Ensuring CASS compliance for offshored activities where providers may not be regulated
Maintaining comprehensive oversight
- Ensuring your third-party providers remain completely CASS compliant
- Embedding an effective oversight framework to mitigate the risk of any non-compliance
- Aligning the provider’s policies with the firm’s own CASS compliance processes
- Initiating periodic reviews of the third party’s CASS knowledge and compliance
Afternoon session highlights
Mitigating the risk of breaches
- Examining the information exchange relationship between the firm and provider
- How misaligned IT and technology processes could lead to breaches
- Exploring the current audit focus on breaches
Examining case studies
- Exploring case studies of mismanagement of third parties and the consequences
Attending this workshop will increase your knowledge in:
- Third-party provider management
- The responsibilities of the firm regarding third parties
- The difference between 'outsourcing' and 'offshoring'
- How to manage the risk of breaches related to third parties
- Implications for CASS audits
Become A 2025 Partner
The 15th Annual Client Assets Protection Forum 2024 offers a variety of commercial opportunities to raise your profile to our focused audience of CASS professionals.
As a conference partner you can publicly position yourself within the sector to maintain high visibility, start conversations and generate leads.
To learn more about all the opportunities available, get in touch with Tom Haslam to discuss speaking and exhibition opportunities.
