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 in place, it is difficult to achieve ongoing CASS compliance.
This webinar focused on the challenges of CASS compliance, the FRC’s Assurance Standard, and the importance of centralised processes and robust controls.
Kevin Huby, Owner of Prin10, joined us to discuss why robust CASS governance and oversight matters.
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