CASS 7: Best Practice Breakfast Briefing

In recent years, CASS Audits have shifted towards a more control-based approach from the substantive, sample testing methods. This is perceived by most as proactive, as it challenges the suitability of a firm’s key controls underpinning the operational processes. Where a control has failed in the past and given rise to a CASS breach, remediation action must be taken to enhance the existing control framework.

This is particularly true when an FCA regulated firm holds money on behalf of clients as Client Money and must therefore comply with the Client Money rules in chapter 7 of the FCA handbook.

Join our Breakfast Briefing

Following on from our new CASS 7: Best Practice whitepaper, we would like to invite you to join us at our upcoming breakfast briefing, where we will discuss some of the common challenges encountered by firms reconciling and reporting on Client Money positions.

Kieran Millar, Senior CASS Consultant at AutoRek, will demonstrate core AutoRek functionality helping many FCA regulated firms undertake their daily internal and external client money reconciliations.

We will be joined by Nisha Sanghani, Managing Director at Rosediem Consulting.

Places at these events tend to go fast – to avoid disappointment sign up here today.

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