Book a call
    logo_outline-1
    Home > Insights > White papers > CASS,  checklist

    Practical CASS & Safeguarding Checklist

    Are your client asset controls standing up day to day?

    Client Assets scrutiny isn’t easing and regulators are no longer satisfied with last-minute audit fixes.
     
    From safeguarding and segregation to reconciliations, governance, and third-party oversight, firms are expected to demonstrate continuous control across the full client asset lifecycle.
     
    This handy checklist distils regulatory expectations into one clear, actionable page, helping you assess where you stand, identify gaps early, and stay audit-ready at all times.

    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, this checklist helps you turn insight into action, giving you a practical way to assess and improve your current controls.

    If you missed the session, you can still watch on demand and the checklist still stands alone as a hands-on CASS health check for your organisation.