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CASS Compliance & Audit Bolt On Software 

CASS Compliance & Audit Bolt On Software

Practical line-by-line mapping for client asset compliance in custody, client money, mandates, and resolution packs

The client assets regimes including the UK Client Money and Asset rules (CASS), and Client Asset Requirements (CAR) in Ireland require firms to ensure that clients assets are being effectively managed at all times. With such requirements, firms have the obligation to put in place appropriate systems and controls to evidence compliance with the applicable rules.

Ruleguard for client assets provides an electronic feed of client assets rules direct from the regulators, such that firms always have the latest version of the rules in a single central repository. With our CASS resolution pack and Client Asset Management Plan (CAMP) software, everything related to the firm’s client asset compliance will be kept in one place and is easily retrieved and demonstrated to the auditor and regulators.

Ruleguard for Audit Management provides rich reporting and review features about every task being managed, giving you detailed insights at the touch of a button. Audit preparation is simplified with a complete log of task results being available and exportable outside of Ruleguard. With our solution, you can maintain a robust audit trail of relevant documents and selectively share with your auditors. Read more here

Solution Features

Ruleguard provides a complete client assets solution to help your firm comply with all your client asset requirements. It allows you to easily manage and document your compliance activity in one place. Here are just some of its key features:

  • Link your controls and operational processes directly to the client assets rules using the rules-mapping engine

  • When those rules change, a direct feed from the regulator ensures that Ruleguard is always up-to-date and notifies you of any differences

  • Store and version control policy and procedure documents as a repository so that all your data is centralised and accessible

  • Compliance risks can also be documented, scored, and included within the mapping relationships maintained in the client asset audit and examination software

  • With your entire library of client assets information under control by Ruleguard, the system makes production and updating of compliance documentation effortless, including the ability to generate the CASS Resolution Pack or a Client Asset Management Plan

  • Attestations built into the platform and detailed MI features ensure that evidencing compliance is straightforward, making tasks like audit preparation vastly simpler than ever before


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