CASS Compliance Breakfast Briefing

CASS Breakfast Briefing

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 will focus 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 & Williamson, also joined us to discuss preparation for CASS audits and regulatory updates.

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


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