There is no doubt that firms are now faced with tougher CASS audits and increased scrutiny from auditors.
The FCA have stated that firms must be able to demonstrate that they have adequate systems and controls in place to be able to comply with CASS rules. Without the correct CASS governance and oversight framework it is difficult to achieve ongoing CASS compliance.
Overcome the Challenges of CASS Compliance
We invited you to join us for another sitting of our CASS Compliance Breakfast Briefing which focused on the challenges of CASS compliance, the FRC's Assurance Standard, and the importance of centralised processes and robust control frameworks.
Kevin Huby, Owner of Prin10, joined us to discuss why robust CASS governance and oversight matters. Jonathan Dark, Group CF10a at Smith and Williamson, also joined us to discuss preparation for CASS audits and recent industry updates.
Topic: Overcome the Challenges of CASS Compliance
Date: Wednesday 16th August 2017
Venue: Brand Exchange, 3 Birchin Lane, London EC3V 9BW
Time: 08.00am – 09.45am (BST)
This event has now passed. For more information please e-mail email@example.com