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    Investment Management Case Study

    Investment Management Case Study

    CASS,  investment management,  case study

    The Challenge Regulatory pressure. Manual processes. No single source of truth. With FCA scrutiny increasing and internal audit activity underway, the firm needed to digitise controls, strengthen CASS oversight and formalise supplier governance, quickly, and without...

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    CASS Compliance and Transfer Agent Oversight

    CASS Compliance and Transfer Agent Oversight

    CASS

    The Challenge A manual approach to CASS compliance The client is a large CASS firm and is therefore required to comply with applicable FCA client money rules. The company currently outsources elements of its CASS operations to a transfer agent and as per the relevant...

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