CASS Spring Forum – London

Tom is a Next Generation Partner in Financial Services and an "expert in UK and EU regulatory matters" (Legal 500). He specialises in advising buy and sell-side firms on financial markets regulation, as well as their tech and data providers. Tom regularly advises on M&A, securities, derivatives and complex commercial transactions in the regulated sector. Tom has in-house experience gained on secondment to Morgan Stanley, primarily supporting the Sales and Trading business, and at MetLife, supporting a complex restructuring. He is an active participant in the industry, as a member of the Financial Markets Law Committee's Banking, Infrastructure and Fintech Scoping Forums and through his contributions to various trade body working groups, including at UK Finance, ISDA and TISA.

I lead KPMG’s specialist Client Assets Consulting team, helping financial services firms navigate the FCA’s CASS requirements to achieve robust compliance and operational efficiency. With over 20 years at KPMG, I combine deep regulatory knowledge with practical insight into delivering cost-effective, scalable solutions that meet evolving expectations. Over the past decade, I’ve supported banks, asset managers, trading platforms, and fintechs in strengthening their CASS control environments, enhancing audit readiness, and driving regulatory change programmes that improve upstream processes and reduce costs. My experience includes client-side secondments with a US investment bank and UK Financial Investments (HM Treasury), giving me first-hand industry perspective to tailor advice effectively. As Client Lead Partner for several KPMG accounts in the Banking, Wealth Management, and Trading Platforms sectors, I focus on building long-term, trusted relationships to solve our clients’ most complex challenges. Outside of work, I stay active on the football pitch, bike and paddleboard, and love exploring new places through hiking and scuba diving.

Nicky has headed up the CASS Oversight Office at HSBC UK for the past four years before which she led the CASS Assurance team in operations for eight years. Nicky has over 28 years’ experience in Financial Services where she qualified as a management accountant prior to moving into the world of CASS.

Chloe is a Principal Consultant at Square 4 with over 17 years financial services experience, having worked in retail banking, at the regulator, as a consultant at a ‘big 4’ firm, as well as within multiple firms in the asset and wealth management sector. Chloe has been specialising in CASS for 10 years, leading CASS functions at multiple organisations, with key focus areas being on governance, outsourcing oversight, design and implementation of processes and controls, operational risk mitigation and regulatory compliance. She is able to understand the challenges that regulated firms might face and utilises her own experience to help firms navigate complex scenarios.

Matt qualified with S&W and leads a wide range of audit and assurance assignments for clients including lenders, fund managers, insurance and FX brokers, and private equity & property funds. Matt has also been involved in a number of regulatory assignments, providing advice to clients in relation to internal audit, due diligence and client asset reporting.

Nicky is an Advisory Director within the Square 4 leadership team, helping to drive the strategic direction, growth and management of the business. Nicky leads the Client Assets Team and is responsible for overseeing all work in the areas of client assets and financial crime compliance, outsourcing and third party management as well as regulatory transactions including authorisations, variation of permission applications and changes in control. She leads on reviews and health checks, provides subject matter expertise to in-house teams and designs processes and controls for firms. She has worked with firms to prepare for and provide support throughout CASS audits, supported remediation and change projects and has led skilled person review teams. Nicky has 25 years financial services compliance experience with 18 of those years spent providing regulatory consultancy. She has worked with all types of firm, from start-ups to multinational corporations. She has broad experience of general compliance matters, outsourcing and governance and extensive financial crime compliance experience. For the last 12 years, Nicky has focussed heavily on client assets compliance and has deep technical knowledge and wide-ranging experience on the topic.

Oliver is a director in PKF Littlejohn’s Wealth and Asset Management team with over 10 years’ experience leading the statutory audits of asset, wealth and investment managers. His expertise extends to leading the related reasonable assurance CASS reports required for those entities holding client money and custody assets and is responsible for delivering training on this topic. He enjoys working closely with his clients, helping them overcome the complex accounting requirements and other regulatory challenges faced in the sector, providing practical and relevant solutions as well as expert recommendations.

Joe is a Director in Ernst & Young LLP’s Extended Assurance Financial Services team with over 10 years of Financial Services experience. Joe acts as a CASS and Payments safeguarding SME in the CASS/Safeguarding practice for EY. He supports a range of Wealth & Asset Management firms on CASS matters and payment firms on safeguarding matters.

Katy holds the Head of Regulatory Resilience and CASS Oversight role at T. Rowe Price, overseeing a medium sized CASS firm and a further limited assurance CASS firm. Katy has over 13 years’ experience in the financial services industry, specialising in CASS for the past 8 years. She initially started her career as a financial statement auditor at Big 4 firm, Deloitte. She later moved in the regulatory assurance team at Deloitte, specialising in CASS external and internal (co-source) audits and wider CASS assurance reviews within the investment management sector.

Steve joined TISA in March 2026 as a Policy Executive, with responsibility for leading on Client Assets (CASS) and Financial Crime prevention. Prior to joining TISA, Steve held various management and senior management positions at a range of large investment manager and platform businesses. When he was at Aberdeen, Steve was Head of CASS (CF10a) for its investment management activities. Steve is a Chartered Accountant and a Fellow of the Chartered Institute for Securities & Investment.