The continuing CASS focus for Investment Firms

As firms begin to emerge from the restrictions placed upon them for the last year, many are embracing the chance to drive change and find a new balance in a modern, updated way of working.

In issuing three ‘Dear CEO’ letters with a CASS focus during 2020, the FCA reiterated their message regarding the controls they expect to see firms adopt, with the ultimate priority of minimising any adverse client impact in the event of a firm’s insolvency.

This whitepaper discusses the well-known challenges faced by investment firms and their need to modernise their operations in order to minimise their exposure to risk.

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