Good Governance: A Key Aspect of CASS Compliance

Without the correct CASS governance and oversight framework in place, it is very difficult to achieve CASS compliance.

Most firms with CASS failings painfully resolve their issues only to find more problems down the line, despite all the costs and resources that they would have dedicated to resolving the initial failings. Often this is due to the lack of focus on building a sustainability framework that is forward looking, rather than incident driven.

But what does 'Good CASS Governance' even look like? Few firms or consultants can explain what good governance looks like or provide a tangible solution, a lack of clarity in the market exists even before the myriad of CASS arrangements have been added to the equation.

Good Governance: A Key Aspect of CASS Compliance

Co-authored with Rosediem Consulting, this paper combines Rosediem's CASS advisory expertise and AutoRek's automated CASS controls experience to explore:

  • Why Good CASS Governance and Oversight Matters
  • The Importance of Centralised Processes and Controls
  • Risk Management using 'Tangible' Governance Tools
  • A 'Governance Wheel' of CASS Governance's Critical Elements
  • The Danger of 'Sticking Plaster Solutions'
  • How Rosediem and AutoRek can help


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