CASS Compliance: The importance of good governance

Good governance is vital for compliance with CASS regulations, demonstrating suitable oversight of a firm’s internal systems and controls.

One of many challenges facing firms is building a culture that promotes change and innovation, while also ensuring that governance processes adhere to regulations and prioritise the client’s best interests. The FCA frequently discuss these two dimensions in public enforcements cases they issue.

Yet many firms with CASS failings fall short because they lack a sustainable governance framework that is forward-looking rather than reactive and incident-driven. These firms then painfully resolve legacy issues only to encounter more problems further down the line.

By contrast, those firms with a robust CASS governance framework do not face the same challenge. Such frameworks enhance a firm’s overall CASS compliance, allow for more savvy commercial decision-making and better risk management.

In this whitepaper, we offer a deep dive into exactly what a robust and effective CASS governance framework looks like for modern financial organisations.

Download the full whitepaper to discover:

  • Why good governance is essential for CASS compliance
  • The steps firms should take to ensure ongoing compliance with CASS provisions
  • What the FCA expects from the CASS firms they regulate
  • The challenges associated with delivering strategic CASS solutions
  • How automation can provide effective CASS compliance

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