TISA CASS Spring Forum 2023

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 Partner 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.

Paul has almost eighteen years’ experience specialising in CASS. Working at a senior level for global custodians, platform companies, asset managers, ACD's, banks and professional consultancy firms. His career has predominantly been focused on the operational and oversight elements of a firms business where he has supported and lead firms through enforcement actions and regulatory challenges creating and implementing target operating models, new teams and enhancing the BAU CASS activities for the firms.

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.

Amarjit is a Partner at EY, leading EY’s extended assurance offerings in Wealth & Asset Management sector. He has worked with a wide range of clients from global asset managers and their funds through to investment trusts, private equity houses and hedge fund managers on variety of assignments from traditional audits to internal control reviews as well as s39/s166 FSA/FCA engagements. He spent four years in various roles at J.P. Morgan Asset Management before re-joining EY as a partner in 2008. Currently he is responsible for a number of Ernst & Young’s largest wealth and asset management clients and also provides regulatory assistance especially advising asset and wealth managers on CASS, MiFID II, CRD IV, Suitability and Solvency II. He chairs the ICAEW’s Investment Management Committee and represents EY at the FRC and FCA on CASS matters. Amarjit is an active supporter of the Diversity & Inclusiveness programme at EY and is the chair of the EY Sikh Network. He leads our engagement with clients on their D&I initiatives in the Financial Services industry.

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.

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.