Planning for your CASS audit

Watch this webinar where Senior Manager, Julie Tuffrey takes a deep dive into the necessary steps you should take when preparing for your CASS audit.

Download this free on-demand webinar today!

Planning for your CASS Audit 

Protecting client money is a regulatory priority for the FCA. If you hold or control client money or safe custody assets as part of your business, you must follow rules set out in the Client Assets Sourcebook (CASS). This is to ensure you keep client money and assets safe if firms fail and exit the market.

This webinar will cover key areas of preparing for your CASS audit including the following:
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Risk and control framework
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Outsourcing arrangements
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CASS internal documentation and records
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Compliance monitoring framework
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About fscom

At fscom, we strive to offer excellent service in a professional and personable manner. We deliver this through our unrivalled understanding of financial services regulation and a strong emphasis on taking a commercial and innovative approach that puts our clients’ needs first.

We are specialists in providing regulatory advisory services to a broad range of financial services institutions including payment services and e-money, retail banks, cryptocurrency, trading and broking and asset management firms.

We work across three core areas of regulatory compliance, financial crime and cyber security and provide a range of services including compliance advice, authorisations, audits, interim roles and compliance training.
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