TISA - Tax Incentivised Savings Association - Training Event

CASS - Seeing through Client Money Reconciliations

Tisa -

CASS - Seeing through Client Money Reconciliations

This workshop will be delivered by Karen Bond, Partner, Walbrook Partners. Karen has more than 35 years financial services experience and has been a consultant since 1999. Assignments delivered include support for the development and setting up of operational processes, including CASS requirements, selection and implementation of outsource providers, remediation of CASS issues and support for s166 reviews and FCA visits. She has worked for a wide variety of firms, including platforms and their software providers, wealth managers, asset managers and outsource providers.

The course will provide detailed information on Client Money Reconciliation processes and methodologies under CASS 7 and how the oversight of these should be managed, whether they are outsourced or performed in-house. Participants will receive practical explanations related to the real life operation of reconciliations, including:

Regulatory background and the applicable rules
Internal and external client money reconciliations purpose and differences
Internal client money methodologies
Calculation of client money requirements
Treatment of discrepancies
Funding requirements
Breaches relating to reconciliations
Oversight of outsource providers reconciliation processes

The course will be suitable for those with little or no experience in this area or who wish to refresh their knowledge. Types of business covered will include those within scope of CASS 7, including fund managers, wealth managers and platforms. Where applicable, the impact of the new FRC audit standards in relation to CASS will be considered.

Registration at 12:45, to commence at 13:00 and to conclude at 17:00

Members: 400
Non-members: 500

Available Dates
Location Title Dates  
Cathedral View, St Vincents Centre, Carlisle Place, London, SW1P 1NL CASS - Seeing through Client Money Reconciliations 24th April 2019 Book Now