Challenges of CASS Compliance Breakfast Briefing

Challenges of CASS Compliance Breakfast Briefing

2018 will mark the 10 year anniversary of the collapse of Lehman Brothers. We are also entering year 2 of the application of the FRC’s enhanced assurance standard, which will find firms undertaking remedial work to ensure a return to an unqualified audit opinion.

The intention of CASS auditors this year is to increase scrutiny in the area of IT and systems controls. It remains to be seen how far this scrutiny will extend, indeed the approach being taken by auditors in assessing CASS compliance is still considered to be a moving target as their approaches evolve. It is therefore not surprising that CASS remains high on the regulatory agenda.

Overcome the Challenges of CASS Compliance

CASS continues to be high on the regulatory agenda. At our CASS Breakfast Briefing we considered lessons learned from the FRC’s assurance standard and what it means to be in control of your CASS regime so that data integrity prevails.

Jo Parkhill, an Independent CASS Consultant, joined us as a guest speaker. Jo discussed the importance of adopting holistic, front-to-end policies, processes and procedures, as well as touching on FRC Assurance Standard and the effect of MiFID II on CASS.

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