Is your firm CASS compliant?
CASS is designed to safeguard client money and assets during an insolvency. It applies to MiFID investment firms, wealth managers, brokers and other regulated entities handling client assets. Firm are expected to provide accurate reporting, regular reconciliations, clear governance and Board-level oversight as part of CASS compliance, or risk FCA action and reputational damage.
Key CASS services
Enhance CASS governance, assess third party controls and support SMF18 officer appointment and training to drive robust compliance.
Develop, review and update CASS policies to align with FCA expectations, ensuring a compliant CASS Resolution Pack.
Independent CASS compliance assessment, pre-audit review of reconciliations and governance, and detailed remediation plans for full FCA compliance.
Bespoke training for compliance teams and senior management, scenario-based workshops on FCA expectations, and ongoing support to strengthen CASS compliance culture.
Why work with us?
Our team of compliance maturity specialists develops regulator-ready CASS frameworks that embed best practices, enhance governance and ensure audit readiness.
- CASS compliance specialists – We move firms from basic compliance to CASS best practice leadership.
- Expert-led solutions – Our team of former regulators, compliance leaders and CASS specialists has a deep understanding of what’s required.
- Regulatory confidence – We ensure compliance with FCA expectations, MiFID II and industry standards.
- Clarity and structure – Our Evolve Framework brings structure to an unstructured world: Evaluate, Visualise, Operationalise, Learn, Verify, Enhance.
Insights that keep you ahead
Access expert insights, regulatory updates and in-depth analysis from our sector specialists. Our thought leaders break down emerging risks, evolving expectations and industry trends - giving you the clarity to strengthen governance, enhance control frameworks and lead with compliance maturity.
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Ready to advance your compliance maturity?
Connect with our sector specialists for tailored guidance on where you stand - and where to go next. Whether you need authorisation, assurance or a path through regulatory pressure, we'll help you take the next step with clarity and confidence. Let’s talk.