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Home > Insights > Webinars > audit,  CASS,  client assets

Elevate your CASS compliance

November 2024 - London, UK

Every year, our clients encounter substantial challenges as they prepare for their annual CASS audits. Whether they are investment firms or asset management companies, if they are holding client assets, they must submit client asset reports to the regulator, fully complying with Client Asset related requirements, from CASS rule mapping and Resolution Packs to CAR, SCAF, ISEM, and more.
 
This obligation imposes significant time and resource strains on teams that are already stretched thin.

We were joined by 30+ Senior Managers and Heads of Client Assets for an insightful session discussing CASS challenges, strategies to enhance compliance, exploring the latest market trends, and more.

  • Attendees benefited from hearing from special guest speakers from a global financial services company on third-party oversight and compliance challenges.
  • They gained valuable insights into the latest regulatory developments and key CASS compliance requirements.
  • Participants discovered how peers were leveraging technology to manage CASS compliance and streamline evidence collection.
  • They also learned how financial services firms effectively collaborate with auditors and third-party administrators through technology.

Download the key takeaways by submitting your details on the form!

Ensure crystal clear CASS compliance and auditing

Ruleguard’s Client Assets compliance solution provides an electronic feed of CASS rules, directly from the regulators, to ensure firms are always equipped with the latest version of the rules. 

 

Speakers

Priscilla Gaudoin

Priscilla Gaudoin

Head of Risk & Compliance

In a career spanning 27 years, Priscilla has worked as a consultant, CCO and MLRO providing regulatory oversight and advice to firms across the financial services industry. She is responsible for our thought leadership programme, writing regular articles and white papers, and hosting webinars on a variety of regulatory matters.

Her dual role also encompasses the oversight of risk management at Ruleguard.

She is a Fellow of the International Compliance Association, a certified GRC practitioner, and a member of the Institute of Risk Management.

Ed Buckman

Ed Buckman

Commercial Strategy Director

As the man responsible for shaping Ruleguard's commercial direction, Ed wears many hats. He engages with our clients and strategic partners, keeps an eye on regulatory developments, and works with the product team to improve and enhance our platform.