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Responding effectively to your CASS audit
Pushing forward with remediation should now be a priority for CASS personnel.
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DFSA announces proposed changes to client asset regime
Firms have just nine months to prepare for the new rules ahead of January 2026.
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What firms can do to prepare for CASS 15
The FCA is aiming to remove ambiguity around safeguarding processes and better align them with the Client Asset Sourcebook.
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CASS: New considerations on prudent segregation
Using prudent segregation, and what industry challenges lie ahead.
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How wealth managers can avoid misconduct and protect consumers
A year on from the FCA’s Dear CEO “warning shot” to wealth managers on consumer duty and financial crime, we look at how firms can meet these revised expectations.
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FCA work in review September 24-30, 2024
Our at-a-glance guide to recent FCA activity.
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New safeguarding regime presents high compliance burden
Payments and e-money firms impacted by codification of guidance and new requirements including the imposition of a statutory trust.
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Getting the best out of your CASS audit
With the CASS audit season being just around the corner for many investment firms, it’s worth exploring what you can do before and during your audit to ensure you get the right result delivered efficiently.