The CASS compliance guidebook

FCA CASS regulations have been in place for around 20 years. The current rules and guidance have remained unchanged since PS14/9 came into force between 2014 and 2015.

Despite this, 98% of investment professionals in the UK say that CASS compliance remains a significant focus for their firm’s senior management team.

This is likely because firms continue to face a number of key challenges:

  • Correct interpretation of the – somewhat prescriptive – CASS rulebook
  • Ensuring appropriate identification and segregation of client assets at all times
  • Embedding robust processes that meet requirements and can be efficiently completed
  • Building a CASS culture throughout an organisation to emphasise the importance of compliance
  • Effectively maintaining CASS governance and oversight to detect and resolve issues swiftly
  • Staying on top of FCA communications – including its ambition for data-driven oversight


The CASS compliance guidebook: Regulatory guidelines and automated software considerations

While CASS 6 and CASS 7 are often the primary compliance focus, investment firms in the UK would still benefit from a further understanding of the full range of guidelines. To help you navigate through each area of the rulebook, we’ve outlined the requirements for each area of CASS:

  • CASS 3 – Collateral
  • CASS 5 – Client Money: Insurance distribution activity
  • CASS 6 – Custody rules
  • CASS 7 – Client Money rules
  • CASS 8 – Mandates
  • CASS 10 – CASS Resolution Pack
  • CASS 11 – Client Money: Debt Management
  • CASS 13 – Client Money: Claims Management
  • Client Money and Asset Return – regulatory reporting
  • CASS Governance

You’ll also learn the common challenges of CASS compliance and how AutoRek’s end-to-end CASS solution can help you stay compliant.

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