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