Resources

Video: 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…
CASS, Client Assets, Client Money
CASS Oversight of Third Party Administrators
Third Party Administrators (TPAs) typically perform back office activities including cash and transaction processing, settlement, reconciliations, record keeping, and CASS…
CASS, Client Money, Compliance
AutoRek Survey: MiFID II Transaction Reporting Readiness
With the MiFID II go-live date now just less than 6 months away, many firms are still in the process…
MiFID II

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