CASS

CASS compliance has become a fear factor in many firms with the numerous fines dished out by the FSA.  The requirements to submit a CMAR and appoint a CF10a create a number of challenges.  

A good CASS governance structure is very important that addresses all the governance requirements necessary to ensure things do not slip when strategic or external change comes along.  There is much to consider and often the CASS obligations of a firm sit at the heart of its operational structure.

Compliance can be seen as a burden but with the right framework in place there is a lot of positve outcomes that can be gained.

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