What's happening in 2022
Catch up with the industry
Now in it's 13th year, the Client Assets Protection Forum is one of the most prominent gatherings of in-house client asset professionals. Catch up with your industry counterparts who you haven't been able to meet with for the past two years and expand your black book by making new contacts.
Hear from the FCA, Heads of Client Assets and those who sign off the CASS audits
Our top level speaker line up includes the Head of Client Assets and Heads of CASS from some of the biggest financial institutions. You'll be able to understand how they are meeting the compliance requirements and ensuring a smooth audit process.
You'll also benefit from the keynote session from the FCA, who will be about to outline their expectations and current regulatory direction of travel. As well as this, we'll have senior representatives from the major audit firms who can share what they are seeing and how to resolve the common challenges.
Meet your CASS audit requirements
With the CASS audit now an almost 12-month process, you'll be able to share strategies and insights with your industry colleagues on how they are meeting their CASS requirements. Understand the resource they are dedicating and how they are matching their auditor's expectations.
You will benefit from the auditor's sharing their insights during the audit panel at the start of the day, and contrast against the Heads of CASS and what they are seeing towards the end of the day.
Gain a thorough overview of your CASS obligations
Understand how to implement the latest developments within CASS & operational resilience, fiduciary trustee books of records, Irish CAR rules, breaches, TTCA, the role of IT, safeguarding, crypto and exemptions.
You'll be able to take away a solid understand of your requirements for the next 12 months from the regulators, auditors and your industry counterparts.
TWO WORKSHOPS: Fundamentals of CASS and CASS & Operational Resilience
The Fundamentals of Complying with CASS Regulations
A holistic overview of effectively complying with the CASS regulations for those new to the industry, to firms newly under UK regulations and individuals with no or little prior experience
IT and CASS: Providing Remote Assurance and Operational Resilience of CASS Oversight
Strategies, tools and solutions for organisations to meet CASS requirements within in a changing remote working environment and greater IT opportunities
Meet with your counterparts within financial institutions
You'll networking with the Heads of Client Assets, CASS, Compliance, Prudential Risk and Assurance to build a relationship with your colleagues at other firms. You'll then be able lena on your network over the course of the year to compare notes and strategies as you meet your CASS audit challenges.
Benefit from the experience of our 2022 speaker line up:
Pre-Conference Workshop: The Fundamentals of Complying with CASS Regulations
This workshop is designed for risk and compliance professionals and those responsible for CASS oversight such as CF10a’s 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
Introducing the regulatory framework
- Understanding key CASS objectives
- Recognising explicit and implicit requirements
- Meeting external stakeholder expectations, including auditors
- Learning from previous FCA enforcement action
Developing the operational infrastructure
- Completing legal formalities including client agreements, acknowledgement letters and due diligence
- Implementing effective record keeping and reconciliations
- Leveraging IT systems effectively
- Creating policy and procedural documentation
AFTERNOON SESSION HIGHLIGHTS
Implementing oversight and assurance
- Introducing CASS governance
- Determining CASS risks
- Monitoring controls performance
- Producing management information
- Managing outsourcing and offshoring
ATTENDING THIS WORKSHOP WILL INCREASE YOUR KNOWLEDGE IN
- Current best practice in third party management
- Adopting a risk-based approach to oversight and monitoring
- Lessons learned from FCA enforcement actions
- Current best practice in outsourcing
- A deeper understanding of the FCA’s expectations from a CASS perspective
Post-Conference Workshop: Providing Remote Assurance and Operational Resilience of CASS Oversight
This workshop is designed to act 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 Governance processes within their organisations.
A key focus will be on "Challenge processes” and their fundamental importance for sound governance.
Tools and strategies for managing your CASS function remotely
- Identifying requirements
- Understanding responsibilities
- Delivery and access of data
- Evidence, managing and storing of data
Understanding the controls requirements when working remotely
- Key control and handover of data
- MI and Trends
- Supplier oversight and understanding the risk
CASS Resolution Pack with digital solutions
- Structure and types of data
- Updates to the pack required
- Review and oversight of the pack
Building a business continuity plan for a remote/hybrid working environment
- Types of failure and response
- Solutions required, full and/or hybrid
- Implementing and testing the plan
ATTENDING THIS WORKSHOP WILL INCREASE YOUR KNOWLEDGE IN
- Operational resilience
- Remote working
- IT risks
- Implications for CASS audits
BECOME A 2022 PARTNER
The 13th Annual Client Assets Protection Forum 2022 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 Germantas Kneita to discuss speaking and exhibition opportunities.