Workshops: 12 & 14 June 2023
14th Annual
Client Assets Protection Forum
The Premier CASS Event
Your one-stop-shop for updates on CASS audits, 3rd party outsourcing, role of IT, change management, FCA updates and much more!
What's happening in 2023
Catch up with the industry
For the 14th time, the Client Assets Protection Forum will bring together in-house client professionals from across the financial services industry. Catch up on all the latest updates from your peers and tackle your common challenges together.
You'll be able to take away a solid understanding of your requirements for the next 12 months from the regulators, auditors and your industry counterparts.
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.
Explore the biggest challenges firms are facing
Understand how to implement the latest CASS priorities:
- Exploring IT & importance in CASS audits
- Managing third party outsourcing
- Integrating CASS into appropriate change management
TWO WORKSHOPS to improve your understanding of key topics
Focusing on the basics of CASS and continuous improvement to your processes, as well as another workshop to be confirmed which will focus on current top CASS priorities!
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.
Hear from the Heads of CASS at some of the biggest firms, as well as the major auditors
Join those in charge of CASS at some of the biggest financial institutions - hear how they are meeting requirements and improving their compliance processes.
Learn from the major audit firms about their biggest priorities and areas of focus in order to prepare yourself for your next audits.
Benefit from the experience of our 2023 speaker line up, including:
Pre-Conference Workshop: Revisiting the basics of CASS compliance
This workshop is designed for risk and compliance professionals and those responsible for CASS oversight such as CF10as and senior managers with CASS responsibilities; however, whilst the principles demonstrated have a CASS focus they can of course be applied to any area of the business.
MORNING SESSION HIGHLIGHTS
Understanding the regulatory framework
- Outlining key objectives and requirements of the regime
- Explaining differing requirements for different types of firm
- Clarifying difficult concepts for new entrants into the market
Creating an appropriate governance and oversight framework
- Outlining the basics of CASS governance
- How to effectively identify CASS risks
- Overseeing your controls systems
- Managing risks associated with third party providers
AFTERNOON SESSION HIGHLIGHTS
Making continuous improvements to your CASS processes
- Evaluating how effective your CASS risk control framework is in order to identify areas of weakness
- Improving standards surrounding record keeping and reconciliations
- How to ensure continuous enhancement of processes without external validation – going above and beyond satisfying auditor expectations
Managing and limiting complacency
- Mitigating risks of complacency arising in CASS compliance
- Exploring the impact of business change on compliance
- Looking at CASS in the context of process management
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 to those involved in CASS for a period of time and as insight to those new to CASS. As a refresher, 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 2023 PARTNER
The 14th Annual Client Assets Protection Forum 2023 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 Germantas Kneita to discuss speaking and exhibition opportunities.
