CASS Accountability Is Rising.
Is Your Firm Ready?

What firms told us

As part of Ruleguard’s Client Asset Protection & Compliance webinar, attendees shared where CASS issues most often arise and which regulatory developments are having the biggest impact.

Two clear themes emerged:

• Record keeping is a critical risk area
  Client asset records are no longer just an operational concern. Regulators increasingly view record integrity as a board-level safeguarding issue.
• Personal accountability is rising
  Governance and individual responsibility are now scrutinised as closely as control frameworks. Firms must clearly evidence ownership and understanding of their regulatory obligations.

See the full poll results

Our infographic captures these insights in a clear, visual format, helping firms quickly benchmark their own CASS risks.

Stress-test your CASS framework before regulators do

Regulators expect firms to evidence ownership, control, and oversight of client assets, not just document processes.

Our CASS checklist helps you:

• Identify gaps in record keeping and reconciliations
• Test whether accountability is clearly defined and evidenced
• Prepare for increased scrutiny on governance and individual responsibility

Assess your readiness and download our handy checklist.