Whitepapers

MiFID II Transaction Reporting: Be in Control
Like many other regulations coming into force in the next 36 months, MiFID II is calling for enhanced monitoring, transparency…
MiFID II
FRC and the New CASS Audit Regime
In November 2015 the Financial Reporting Council (FRC) published its standard for audit firms on “Providing Assurance on Client Assets…
CASS, Compliance
CASS 7 Client Money – Reconciliations and Reporting
CASS states that external reconciliations must be undertaken as often as is necessary but at least once a month. In…
CASS, Client Money, Compliance

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