This checklist is for Heads of Compliance, Risk, Governance, CASS and Operational Resilience, CEOs and CFOs at banks, wealth and asset managers, insurers, pension providers, and e-money and payment firms holding client money or assets. If you're accountable for how your next CASS audit goes, this is built for you.
Pre-audit foundation — whether your CASS rule mapping, control ownership and policy review cycle are current, and whether auditors are engaged early enough to agree timelines and evidence requirements in advance.
Day-to-day controls — whether client money segregation, reconciliations, custody records and third-party oversight are genuinely managed day to day, not just tidied up before month end.
Audit pack readiness — whether your rule mapping, policies, reconciliation evidence, TPA oversight and breach logs could be pulled together quickly, or are scattered across separate spreadsheets and inboxes.
Internal governance — whether every control has a named, active owner, and whether your CASS governance forums produce minutes that show real challenge and tracked actions, not just sign-off.
Board and audit committee reporting — whether your MI gives the Board a clear, evidence-based risk narrative, or reads as a comfort statement.
Breach reporting — whether your breach reports go beyond describing what happened, to root cause, remediation and evidence of closure.
Download the checklist, and book a discovery call to walk through your firm's specific gaps directly.