Live Webinar: CASS Governance in 2021

2020 brought a number of challenges to firms and operation functions all over the globe. In the world of CASS, this was no different and with letters from the FCA singling out CEOs on ensuring CASS compliance, it was confirmed that there was no easing up of rules and regulations. As a result, the need for automation has increased and firms are now looking to source systems where everything can be centralised and accessed by users from any location.

Baringa’s CASS Survey Results & AutoRek’s CASS Governance Toolkit

Join us at our upcoming webinar as we look at the latest CASS Insight Survey results produced by Baringa Partners. Guy Munton, Partner - Finance, Risk & Compliance at Baringa Partners, will join us to discuss the results in more detail and highlight the key takeaways. Key sections of this year’s survey include: COVID-19 impact, audits and technology.

Kieran Millar, Senior CASS Consultant at AutoRek, will demonstrate AutoRek’s new CASS Governance Toolkit, a powerful application allowing firms to maintain an electronic version of their CASS Rules and Controls Mapping, Breach Log and Resolution Pack. The toolkit leverages many of AutoRek’s core features and functionality, such as real-time management information through dashboards and reports, workflow and documentation storage.



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