Ruleguard’s regulatory insights & resources

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Blogs

client assets | Peruse our blogs for the latest, fresh perspective on navigating the maze of global regulations and upcoming milestones. This is your shortcut to staying ahead, packed with insights and expert tips from the forefront of GRC innovation.

CAR 2022: What should you focus on?

governance, accountability, corporate governance, risk management, funds, CAMP, audit, CASS, client assets

The Irish Client Asset Regulations (the CAR) were introduced to inspire public confidence and protect investors if an investment firm became insolvent. Revisions were made to the CAR in 2015 and today, we see Ireland preparing for further enhancements with the...

Transparency & Transfer Agents

governance, third parties, oversight, breach management, risk management, CASS, client assets, audit trail, outsourcing, transfer agents, AIFs, UCITS Funds, depositaires

Prior to AIFMD and UCITS V, transfer agents (TAs) were unknown, however the need for greater transparency and trust has raised their profile. Transfer agents play an important role in financial services. They fulfil a number of functions such as maintaining and...

What is CMAR anyway?

oversight, CASS, CMAR, client assets, client money

The purpose of the Client Assets Sourcebook (CASS) is to ensure that client money and assets are always protected. Importantly, all money and assets held for a client can be returned promptly, particularly if the firm should fail. Following the failure of investment...

CASS Firms: Focus on Resilience

governance, third parties, CASS, client assets, resolution pack, outsourcing, client money

In 2020 the FCA issued three Dear CEO letters. The letters were a reminder to firms of the obligations relating to client assets and client money. FCA reminded firms of the importance of maintaining adequate measures to protect client money and assets in the current...

COVID-19: Is the regulator cutting CASS firms some slack?

FCA, breach management, CASS, client assets, audit trail

With the unprecedented levels of support coming from government to numerous business sectors to mitigate the impact of the COVID-19, Senior Managers at CASS firms could have been forgiven for looking eagerly to the FCA’s responses last month about COVID-related...

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