Through enhanced CASS audit practices, the FRC are fully supportive of the FCA’s determination to drive up the level of client protection. 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.


Achieve CASS Automation with AutoRek

AutoRek significantly reduces the burden on firms required to meet the regulatory obligation of client asset protection as defined in the FCA CASS Handbook.

• Mitigate risk of regulatory breaches
• 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

 

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