Client Money & Assets

We specialise in CASS and offer a range of comprehensive solutions as well as direct access to some of the best CASS SME’s in the industry.

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Your trusted CASS expert

An area of exceptional strength for our platform as our founding members have run authorised firms responsible for the safeguarding and administering of billions of pounds of client assets.

As a result we fully understand the importance and regulatory scrutiny involved with such responsibility.

We provide expert advice on all areas of the FCA Client Assets Sourcebook offering tailored solutions for all facets of managing client money and assets, including projects, audit support, remedial projects and CASS training.

  • Access to best in industry CASS SME’s for advice and guidance on all CASS matters including day-to day queries such as rule interpretation and  breach resolution.
  • Specialist advice and opinion on a wide range of technical matters, including Prudent Segregation vs Pre-Funding, Creation of internal records and use of the ISEM for internal custody record checks
  • Drafting or updating of CASS policies, providing quality  assurance input, and also access to our range of CASS policy templates.
  • Help designing or revising your CASS processes and controls, for example refining your reconciliation processes, record-keeping mechanisms or designing a more efficient CMAR process.
  • Preparation for CASS audits, contestable findings advice, and assistance with remedial work.
  • Tailored one-to-one or group-style CASS training sessions specific to your business.
  • CASS Resolution Pack preparation, including creating from scratch or testing existing ones with surprise 'mock FCA' requests.
  • Evaluation of CASS risks and documentation of controls in collaboration with your team and support with your CASS rule mapping.

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