TISA CASS Forum – Edinburgh 2024

Amin is a Partner in EY's Banking & Capital Markets Extended Assurance team with over 18 years of audit experience in the big 4. Amin specialises in Client Assets assurance and advisory engagements, and has worked with a number of Global Custodians, Investment Banks and other broker dealers on CASS audits, frameworks implementation, governance and controls reviews, as well as on a number of skilled persons reviews. Amin is also one of EY's CASS Independent Quality and Control Reviewers within EY's financial services audit practice

Chris is a partner in the Financial Services Regulatory Practice at CMS London. Chris has significant payments, fintech and financial regulation expertise. He has a unique background and insight having joined CMS from the Bank of England where he was working on a number of high profile projects such as the renewal of the Bank’s Real Time Gross Settlement System (RTGS), the broadening of access to RTGS and the payments systems which settle over it to non-bank payment service providers or central bank digital currency (CBDC) / stablecoin workstreams. Chris also has a strong background in Banking and Restructuring, having qualified as a restructuring lawyer and advised on a wide range of finance and resolution matters at the Bank. Chris has considerable experience working with the regulators, financial market infrastructures and payment institutions.

Qualified Chartered Accountant with 10 years of experience in the Investments and Financial Services industry. I started my career at PwC Edinburgh working in audit across various sectors including financial services, asset management, funds and manufacturing clients. However, my primary focus became the delivery of CASS audits. After 3 years, I moved to Santander Isa Managers working as a CASS oversight analyst within the CASS team. For the last 5 years I have worked for Virgin Money Investments, starting as a CASS specialist and moving onto become the CASS senior Manager in 2022.

Scott started his financial services career at Franklin Templeton in Luxembourg before moving back to Edinburgh. He spent 17 years at Franklin in a variety of reconciliation, CASS, banking, and treasury roles before joining Nucleus in 2015. His near 9 years at Nucleus have been spent leading the CASS function through substantial organisation change.

Thomas is a Director in Deloitte’s Client Assets & Safeguarding Audit & Assurance team and leads Deloitte’s Safeguarding propositions as well as being a CASS specialist. Thomas has led on a number of Safeguarding audits and currently leads on Deloitte’s largest and most complex Safeguarding engagements. Thomas also leads on the audit of a ‘CASS large’ firm as well as performing a range of other client assets & safeguarding assurance, internal audit and training engagements. Prior to joining Deloitte in 2016, Thomas gained 5 years’ experience in the stockbroking, wealth management and life assurance industries. During this time, Thomas worked for a ‘CASS Large’ stockbroker and led multiple CASS transformation projects. He also experienced first hand the insolvency of a CASS medium firm and as such has direct understanding of the challenges non-compliance with CASS and Safeguarding has upon insolvency. He has a strong comprehension of the identification and management of compliance and regulatory risk, is particularly skilled in the engagement of stakeholders and has extensive experience in risk-control mapping, policy reviews, testing of internal controls and identification of CASS & Safeguarding breaches.

Shaid is based in Scotland where he received his undergraduate education in Finance & Risk Management at the Glasgow Caledonian University. He has gone on to have an extensive career in banking and investment services over the past 25 years in both the wholesale institutional and retail sectors in the UK and Europe. His career history includes firms such as Morgan Stanley, Scottish Widows, Barclays and most recently abrdn. For the past 12 years, Shaid has focused his attentions on client asset regulations in the UK and specifically the FCA’s CASS rules and has been a leading industry commentator on this topic in the UK. As Head of Client Assurance for abrdn’s Adviser business, Shaid is responsible for the oversight of client assets and operations of two of the UK’s largest investment platforms, Wrap & Elevate. Additionally, Shaid is a founding member of the Scottish CASS Forum, a member of the UK wide TISA CASS Technical Committee and Co-President of the CISI Scotland Committee. With these associations, Shaid has represented industry bodies in several CASS consultations with the FCA and other regulatory agencies in developing regulation and establishing industry best practise.

Jamie is a chartered accountant and a dedicated CASS expert following 15 years of working on CASS audits, advisory projects, and within industry. Between 2017 and 2022 Jamie led CASS oversight within Aviva’s Platform Risk and Compliance team, which included third party oversight of outsourced activities. Since joining Deloitte in 2022 Jamie has led its CASS Insurance team, and also supports Deloitte’s CASS advisory work for projects within the Wealth Management sector.

Edward has worked for the last 17 years in the financial services practice at Forvis Mazars. He has focussed his regulatory work on CASS with clients across multiple sectors and business models. He is active at Forvis Mazars in the practical aspects of methodology and technical matters and is responsible for the internal ‘licensing’ of staff for CASS audit work. He has an especial interest in transferring knowledge to other practitioners. Edward represents Mazars at the ICAEW CASS and Safeguarding working party.

As Director of Risk and Technical Policy at TISA, Lisa has emerged as one of the leading voices in Consumer Duty, having brought together the industry to produce a comprehensive Best Practice Guide, and currently working to bring about a standardised framework for data sharing across the distribution chain. Lisa also leads TISA work on vulnerability, an area which she is particularly passionate about, having had lived experience. Lisa is an experienced outsourcing, risk and CASS specialist with over 25 years’ experience in financial services, with a particular focus on client protection. She has held senior roles encompassing oversight of outsourced delivery of services within the asset management sector to both retail and professional clients, and held the role of CF10a, an FCA approved role responsible for compliance to Client Asset Protection. Prior to this she held senior roles in a large outsourcing service provider, including as a Lead Client Relationship Manager responsible for delivering services appropriate for a regulated firm, and leading large operational finance teams based in the UK and India. She has significant experience in implementing oversight and risk management frameworks to effectively identify and manage the risks associated with outsourcing and offshoring regulated activities. During her time as a CF10a, she took a key role in a joint client/service provider remediation programme, gaining valuable experience and insight into meeting the regulators expectation in relation to service providers performance, and regulated firms oversight of its outsourcing arrangements. She has a breadth of regulatory knowledge, in particular with a deep understanding of SYSC; CASS; COBs; COLL; MiFID; and MiFID II and is accomplished in assisting senior managers to Board level in understanding regulatory obligations.