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Informa

24 - 26 March 2020
London

11th Annual Client Assets Protection Forum

The Premier CASS Event

Your one-stop-shop for updates on CASS Audits, DLT, Resilience, SMCR and much more!

HIGHLIGHTS

Key Sessions
  • The Auditor's Panel with;
    • KPMG
    • EY
    • Grant Thornton
    • Deloitte
    • PwC
  • Resiliency in the Context of CASS

    • IT systems

    • Business continuity

  • Distributed Ledger Technology in a CASS Context – What does the Future Hold?
Key Reasons for Attendance

This concise conference is a perfect opportunity to get up-to-date on the latest regulatory developments affecting client assets protection, such as the Senior Managers & Certification Regime, FRC audit standard changes and resiliency in the context of CASS. 

With comprehensive industry and auditor insight into blockchain in the context of CASS and how to embed a CASS culture, this is the premier event for anyone working with client asset or money.  

Key Themes
  • Getting Technology Right for your CASS Controls 
  • Learning from CASS Breaches
  • Utilising big data for CASS Controls 

Pre-Conference Workshop - CASS 10 Resolution Pack

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




MORNING SESSION HIGHLIGHTS

Background to CASS RP: 


  • Lehmans, MF Global 
  • Need for CASS RP 
  • FCA 
  • Purpose

Your Responsibilities:

  • Mindset
  • Content 
  • Governance 
  • Structure 
  • Outsourcing 
  • IT Systems 
  • Common Issues
  • Effectiveness.
AFTERNOON SESSION HIGHLIGHTS

Key Requirements of CASS 10: 


  • Retrieval Document 
  • Board Attestation 
  •  Business Attestation 
  •  Testing 
  •  Retrieval 
  •  Updating 
  •  Breach Reporting 
  •  2 Hour / 48 hour retrieval exercise 
  •  Training
ATTENDING THIS WORKSHOP WILL INCREASE YOUR KNOWLEDGE IN
  • Key Requirements of CASS 10
  • Testing a CASS RP 
  • MiFID II 
  • CASS RP Governance
  • Outsourcing & IT System issues

Post-Conference Workshop - Effective CASS Oversight of Outsourcing & Offshoring

 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.


MORNING SESSION
  • Introduction
  • The FCAs focus in respect of CASS
  • Key CASS, SUP and SYSC rules to know
  • Audit standards
  • Internal CASS controls
  • Identifying and mitigation key CASS risks
AFTERNOON SESSION
  • 5 pillars of CASS
  • Principles of Good CASS governance
  • Meaningful CASS MI
  • Identifying the key metrics that matter
ATTENDING THIS WORKSHOP WILL INCREASE YOUR KNOWLEDGE IN
  • Understanding the regulatory focus
  • How to identify the key risk areas for review
  • How to demonstrate effective CASS oversight
  • The CASS governance and reporting requirements
  • How to mitigate your CASS risks
  • Understanding the regulatory ‘red flags’
  • Best practice examples and common pitfalls

Gold Sponsors

Bronze Sponsors

Legal Sponsors

BECOME A 2019 PARTNER


The 10th UK Practitioners Forum on Client Assets Protection 2019 offers a variety of commercial opportunities to raise your profile to our focused audience of asset management professionals.

We tailor specific packages to help you meet and influence the people who are going to ensure the growth of your business now and in the future. 

With a clear understanding of your overall marketing strategy, we will work in partnership with you to develop a bespoke solution to meet your objectives. 

Get in touch with Jo Dixon to discuss speaking and exhibition opportunities.

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