12 December 2019
Effectively Managing CASS Audits
Learn how to evidence CASS compliance, minimise audit costs & manage contentious audit issues!
Practitioner-Led - Real-Life Experiences
One of biggest challenges to firms holding client assets is the degree to which compliance with the rules is subject to independent scrutiny.
Revised standards for CASS audits are now mature and audit firms’ responses and expectations now clearer. However, for the firm being audited, achieving successful outcomes is still a challenge and for many, the costs of CASS audits has risen to an unacceptable level.
This interactive workshop will discuss these issues and effective approaches to addressing them and include feedback from leading CASS audit firms on the previous audit season and focus areas for 2019 audits.
Attending this workshop will increase your knowledge in:
- CASS audit trends and focus areas
- Evidencing CASS compliance
- Managing contentious audit issues
- Minimising ongoing CASS audit costs
- Changes in the CASS audit landscape
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
- Senior operations management
- Compliance, risk and internal audit specialists
- Operations personnel
- Successfully preparing for 2019 CASS audits
- Understanding expectations under a maturing CASS audit regime
- Learning about the impact of recent FRC consultations
- Reducing ongoing CASS audit costs
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.