Five CASS Myths That Could Cost Your Firm
Senior compliance professionals continue to stumble over fundamental misconceptions about Client Asset Sourcebook requirements as the FCA’s new CASS 15…
Category CASS
Read MoreFive CASS Myths That Could Cost Your Firm
Safeguarding CASS rules
FCA Cracks Down on Payment Firms with Toughest Safeguarding Rules Yet The Financial Conduct Authority has delivered its strongest response…
Neil Makwana discusses CASS
Neil Makwana discusses CASS at The Broker Club’s November event. Neil delved into the critical topic of CASS (Client Asset…
Read across from FCA CASS fine
You cannot outsource responsibility Engaging a third-party supplier or provider makes great commercial sense, it can bring expertise, efficiencies, or…
CASS: 6 things the FCA expects of you
FCA works on a risk-based approach and as such they group firms according to the level of risk the firm…
Finding breaches is not all bad news
Rules breaches can have negative connotations after all non-compliance is never good. It can depend of course on what the…