CASS health checks

Our review will consist of a complete scan of the business focusing on the client money and client assets arrangements, policies and procedures and the System and Control arrangements that the firm has in place. We will also drill into internal and external client money reconciliations, physical asset counts, review acknowledgement letters and the necessary due diligence and oversight on third party institutions. 
We will provide a comprehensive report with our recommendations of action to ensure that your firm maintains effective systems and controls. We will help ensure that all of your compliance documentation are specifically tailored to your firm’s business, are in line with the latest CASS rules, regulations and follow best practice standards.