Policies, governance and controls advice

Effective controls and procedures under the CASS regime for holding and/or controlling client money is essential and firms must demonstrate record keeping of due diligence and the internal and external reconciliations, supported by a robust governance framework and qualitative management information.

We can assist firms with designing and tailoring the CASS policies and procedures to the firm’s business model and assist with developing a control framework to support and enhance the governance arrangements and MI reporting of your firm.