CASS Accounting and Reconciliations 2025

Tuesday 18th February, 2025

Delivered Virtually, Zoom

Attendee Fees: Non-members: £590 (VAT Exempt), Members: £440 (VAT Exempt)

Time: 10:00 - 15:00

Duration: 5 hours

COURSE DETAILS

Duration: 4 hours | Timings: 10am-12pm, (break from 12 – 1pm) resuming 1-3pm

This 4 hour online workshop is intended to provide a detailed understanding of the requirements for good CASS Reconciliation, both the preparation and subsequent actions and follow up under the FCA regulatory regime. The course will include practical examples of good and bad practice, which firms should be looking to meet or aspire to. It is suitable for those with previous experience in this area or for those who wish to refresh and expand their knowledge.

The content will include

Methods of reconciliation, format and evidence
Understanding the reconciliation timeline
Best practice in reconciliation sign off and oversight
Funding Calculations
Practical prudent segregation calculation
Treatment of stock and system differences
Reconciliation policies, why they are important
Current auditor and regulatory concerns and hotspots
Reconciliation MI
Process considerations when designing work flows

About your trainer

Our CASS workshops will be delivered by Mark Lester, Partner, Walbrook Partners.

Mark has over 35 years’ experience in Financial Services and has been a senior manager with responsibility for the back office and transfer agency functions at Framlington and as Financial Controller of the MGM Assurance Group, including the Unit Trust Management Company. As part of these appointments, Mark was responsible for ensuring compliance with the regulations including those with respect to client money and assets.

Mark has been a consultant since 2001; assignments have included the design and implementation of operational and financial processes; client money processes and bank account structures of platforms, service providers and asset managers. In addition, he has undertaken remediation of processes and reconciliations, operating model design, outsource provider and system selection, as well as regulatory support, client money training and advice