---
title: Webinar Checklist - CASS
description: Download our CASS & Safeguarding checklist to assess client asset controls, identify gaps, reduce risk, & stay audit-ready with practical FCA-aligned guidance.
---

[Checklists ](https://www.ruleguard.com/checklists)

# [Webinar Checklist - CASS](https://www.ruleguard.com/checklists/checklist-cass-checklist)

 Written by [Ruleguard](https://www.ruleguard.com/checklists/author/ruleguard-admin) | Feb 4, 2026 9:40:57 AM

### What Regulators Expect, In A Handy Guide

This one-page piece, covers the full safeguarding framework regulators expect to see in practice.

### What this checklist helps you do

✔ Validate that your CASS / safeguarding scope is clearly defined and consistently applied  
✔ Pressure-test segregation, safeguarding, and reconciliation controls  
✔ Strengthen governance and accountability across first and second line teams  
✔ Actively oversee banks, custodians, PSPs, and other third parties  
✔ Maintain a live audit-readiness pack, not a retrospective scramble

Designed for firms with CASS or safeguarding obligations, including:

- - - EMIs and Payment Institutions
          - Wealth & investment firms
          - Custodians and broker-dealers
          - Fintechs holding or processing client money or assets

## CASS Compliance, Without the Headaches

If you joined our [Client Asset Protection & CASS Compliance webinar](https://www.ruleguard.com/webinars/webinar-client-asset-protection-compliance), this checklist helps you turn insight into action, giving you a practical way to assess and improve your current controls.

[View full post](https://www.ruleguard.com/checklists/checklist-cass-checklist)

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