Breakfast Briefing: Overcome the Challenges of CASS Compliance

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. This is echoed by the FRC who recognise the importance of the effective safekeeping of client assets and client monies, and the associated significant public interest.

Without robust CASS governance and control frameworks, it is proving challenging for firms 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 focused on the challenges of CASS compliance, the FRC’s Assurance Standard, and the importance of centralised processes and robust control frameworks.

Stuart McLaren who is a Partner at Deloitte joined us to highlight the key outcomes of recent CASS audits under the new Audit Standard and also discussed why robust CASS governance and oversight matters.

This event has now passed. Due to popular demand we will be hosting a second breakfast briefing. For more information please email

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