Through enhanced CASS audit practices, the FRC are fully supportive of the FCA’s determination to drive up the level of client protection. Firms in the asset management sector and other financial services must be able to demonstrate they have adequate systems and controls in place to comply with CASS rules. Without the correct CASS governance and oversight framework it is difficult to achieve ongoing CASS compliance, thus risking FCA penalties.


Client Money and Assets | Achieve CASS Automation -

AutoRek saves time and resources for firms required to meet client money and custody assets obligations as defined in sections 6 and 7 of the FCA CASS Handbook.

  • Mitigate risk of regulatory breaches
  • Fully automate reconciliations
  • Real time insight into status and exposure
  • Reduced dependency on skilled persons
  • Single platform for client money and client assets
  • Automated workflow for governance and audit
  • Efficient electronic sign off and record retention
  • Adaptable to meet new regulatory requirements
  • Centralised repository for storing CASS RP

Download our solution literature for a full overview of how AutoRek can help your firm meet its CASS obligations.

 

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