Alison Allen
Head of CASS Centre of Excellence, KPMG
Alison leads KPMG’s CASS Centre of Excellence, a team of more than 60 CASS subject matter experts that specialise in the provision of CASS audits for regulated firms. She is a Director in KPMG’s Financial Services Audit practice, with over 19 years’ experience working with audit clients in the wealth and asset management and banking sectors. Alison specialises in coordinating and leading audit work for financial services groups including statutory audit, regulatory and controls assurance for custody banks, corporate trust and depositories, asset servicing entities, asset managers, family offices, investment funds, and trusts.
Murray Campbell
CASS Business Consultant, AutoRek
Murray has over 10 years’ experience working in investment business - initially focusing on compliance before moving to CASS operational management. Murray previously managed the Client Money and Stock Shortfalls team at Barclays where he further developed his strong understanding of CASS through the daily management of key CASS operations. Throughout his experience, Murray has driven significant change in the teams he has managed, principally to ensure alignment between CASS processes and the requirements of the rulebook.
At AutoRek, Murray is a CASS Consultant working within the Business Consulting team, with a remit covering Sales and Marketing, Client Implementation and CASS Product Development.
Jonathan Dark
CASS Oversight Director, Tilney Smith & Williamson
Chris Golland
SMF18, Head of CASS & Middle Office Oversight, Aviva
Chris is SMF18 (CASS) for Aviva and has SMCR Senior Manager responsibility for 3 CASS firms (one CASS Large firm and 2 CASS Medium firms) and he provides oversight to all Aviva’s platform, life assurance and general insurance businesses. His role as Head of CASS and Middle Office Oversight ensures he is a full time in his role overseeing each firm’s CASS compliance.
Chris has 28 years of experience gained in both retail and institutional financial services in a variety of consulting, operational and accounting roles for some of the UK and world's leading financial and professional services organisations including Aviva, Aegon, Barclays, BNP Paribas, Franklin Templeton Investments, Grant Thornton, HSBC, Standard Life Aberdeen and Abbey National.
In addition, Chris held the role of Chair of the TISA Client Assets Technical Committee from its inception in 2012 until 2015.
Nick Kinseley
Head of CASS, RBC
Nick started his career at M&G Group before moving onto BNYM’s third party administration business where for last 6 years of his tenure was involved in CASS reconciliations and joined the CASS team in 2012 prior to the publication of CP13/5.
In 2016 Nick spent 7 months with Northern Trust before becoming CF10a at Royal Bank of Canada Investment Management Ltd (RBIM). In November 2019, following RBIM’s merger into RBC Europe Ltd, Nick became the Head of CASS for RBC EL.
Stewart Lancaster
Head of CASS Oversight, Close Brothers Asset Management
With over 20 years financial services experience, specialising in asset management, Stewart has held Head of CASS roles for the past seven years. He holds a diploma in Investment Operations from the Chartered Institute of Securities and Investment where he holds Chartered Fellow status. He has prior experience in the development operational risk and control frameworks in asset managers as well as Section166 FCA requests and investigations from the FCA. Stewart sits of the CISI client assets panel and is the author of a number of published books including the CISI operational risk textbook for the IOC. Stewart is an industry speaker on client assets compliance best practice.
Lisa Laybourn
Head of Technical Policy, TISA
Lisa has over 25 years experience in financial services with a breadth of regulatory knowledge and particular expertise in CASS. She spent 5 years at Architas Multi Manager as CF10a, and deputised for the COO in leading a function which included Third Party Governance, Operations and IT, as well as CASS. Prior to this Lisa spent 10 years with IFDS in various senior roles including as a Lead Relationship Manager and Head of European Cash and Stock Reconciliations. Lisa also spent some time with a Big 4 firm as a CASS SME. Prior to this Lisa worked in various operational roles in the banking sector.
Chris Meyrick
Partner, Financial Services, BDO
Chris is a partner with BDO in its financial services assurance practice. He has led CASS audits and advisory support to clients, primarily across the asset and wealth management sectors for the last 10 years. The firms he works with are diverse, ranging from large international investment managers to small boutiques and outsourced service providers.
Ash Saluja
Partner, Head of Financial Services & Products, CMS
Ash Saluja has over 20 years of experience advising clients on regulatory and commercial matters. Clients include banks, broker-dealers, funds, investment managers and advisers, exchanges, platforms and trading facilities, insurers and insurance intermediaries, as well as the large corporate/pension fund clients and suppliers of these types of institutions. Ash advises on the authorisation and conduct of business requirements, corporate governance, regulatory capital, client money and assets, product design and distribution, cross border business, insider dealing and market abuse, anti-money laundering requirements, as well as the regulatory aspects of mergers and acquisitions, restructurings, joint ventures and outsourcings.
Marcus Swales
Partner, Grant Thornton
Marcus leads Grant Thorntons UK financial services audit practice. He has been operating in the CASS specialism and related fields since the mid 90’s and has been part of various industry committees and working parties on CASS. He leads CASS audits of large, medium and small firms.
Edward Westrip
Director, Mazars
Edward has worked for the last 14 years in the financial services practice at Mazars. He has focussed his regulatory work on CASS with clients across multiple sectors and business models.
He is responsible for Mazars’ policies and the practical aspects of developing methodology, the training of staff and internal ‘licensing’ of staff for CASS related work.
Edward represents Mazars at the ICAEW CASS and Safeguarding working party.