How do you provide assurance on your CASS controls? Download our infographic to find out how.
Are you confident that your CASS controls are robust and stand up to scrutiny?
Download our infographic to learn how to demonstrate that your firm is managing client assets responsibly and effectively.
- Talk to your board or CASS committee. Do they think your control framework is effective?
- Show you have appropriate processes and controls in place to manage risks. Keep these up-to-date and relevant as your business changes.
- Monitor and assess the effectiveness of your existing controls. This includes carrying out risk-based monitoring.
- Gather relevant management information. This data will help you to identify developing trends and respond to risks promptly.
- Be mindful of any manual processes that have been created to bypass a control – scrutinise these carefully.
Do you want to know more? Take 5 minutes to listen to our CASS controls podcast from the PIMFA CASS Academy.
