11 December 2019
Leveraging Systems & Processes for Effective CASS Compliance
A Practical & Interactive Workshop
Insight into Issues concerning Third Party Administrators, IT systems, MI and much more!
The consequences of CASS compliance failure can be severe but often may be avoided through applying the basic concepts of effective system design and process management. Furthermore, at a time of increasing external scrutiny, the need for cost effective internal compliance monitoring and assurance programmes has become increasingly important.
This interactive workshop will discuss these issues and provide practical guidance on improving CASS compliance performance and minimising the cost of effective assurance.
Attending this workshop will increase your knowledge in:
- CASS risk management and TPA oversight best practice
- Improving operational processes to optimise CASS compliance
- Evidencing CASS controls assurance cost effectively
- Developing appropriate CASS policies
Who Should Attend?
This event will be relevant to all firms who hold client assets. It will be of value to all those involved in the oversight and day to day processing of client assets including:
- People holding the client money oversight function and certified individuals
- Senior operations management
- Compliance, risk and internal audit specialists
- Operations personnel
- Developing effective CASS risk management and MI frameworks
- Understanding the importance of process design for CASS compliance
- Implementing robust IT system assurance approaches
- Building cost effective CASS compliance monitoring and third party administrator oversight programmes
- Applying business process management techniques to specific CASS challenges
- Aligning operational processes and CASS policies
Meet Your Workshop Leader!
With over 20 years experience in senior roles with Big 4 and other significant accountancy and advisory firms, Kevin is a widely respected figure in the world of Client Assets regulation drawing upon operational insight from numerous engagements at banks, brokers, asset managers and third party administrators.
Since 2015, Kevin has led his own consultancy firm, Prin10 Limited. He is currently CASS operational oversight function holder for Monex Europe Markets Limited and key advisor to other firms. Kevin also helped design, and provides the expert content for, the ground breaking Axiom for CASS software platform.