Client money and assets (CASS) is an extremely important area of FCA compliance due to the serious harm that consumers could suffer if you get it wrong.

The rules regarding handling client money can be complex and time consuming therefore, you must have robust systems and controls in place to ensure you mitigate against any risk and comply with the industry specific rules pertaining to the handling of client money.

We can assist you with:

• CASS governance and oversight function
• Building your CASS policies and procedures
• Client ledgers
• Reconciliations
• CASS resolution pack
• Regulatory returns
• Training employees responsible for client money
• Preparing for CASS audits

If you already have CASS procedures in place, we can complete a GAP Analysis to ensure you are handling your client money correctly and complying with the relevant rules. Where issues are found, we will provide you with recommendations and solutions.