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15th Annual Client Assets Protection Forum

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!

Thank you to all who attended in 2024

To receive updates about the 2025 conference, please download the 2023 agenda here.

What's happened in 2024?

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

2024 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 firms
  • 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 control 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 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 Mkye Byfield-D'sane to discuss speaking and exhibition opportunities.