CASS Breakfast Briefing: Regulatory focus areas, pitfalls and opportunities

As the regulatory landscape evolves at an unprecedented pace, staying on top of your CASS (Client Assets Sourcebook) compliance is more critical than ever. CASS remains a key focus for the FCA and is central to consumer protection. Firms must give proper attention to their CASS obligations, ensuring systems, controls, and governance are robust enough to identify, assess, and mitigate potential risks.

AutoRek and Pathlight Associates invite you to a Breakfast Briefing on 12 February 2025 to discuss CASS in more detail. John Davison, Partner at Pathlight Associates, will join Murray Campbell, Principal Product Manager at AutoRek, to discuss some of the practical challenges firms face in their CASS compliance, the reasons firms can find themselves in regulatory difficulties and where there are opportunities to improve the adequacy and effectiveness of CASS frameworks.

What to Expect from the Briefing:

• Where things can and do go wrong practically, and why these issues occur
• Lessons learned from FCA interactions and Skilled Person work
• How Firms can take proactive steps to address these lessons and improve their CASS capabilities
• The role of a Head of CASS when insolvency happens
• The benefits of automating key CASS control processes
• Short demonstration of an automated CASS 7 solution

Event Details:

• Name: CASS Breakfast Briefing: Regulatory focus areas, pitfalls and opportunities
• Location: One America Square, 17 Crosswall, London EC3N 2LB
• Time: 8am – 10am
• Cost: Free to attend

We will also be joined by Elaine Sutton, Director at Teneo, who will share valuable insights from her experience of a firm’s journey through special administration. Elaine will discuss what that process looks like for a Head of CASS, who suddenly becomes the most important person in the room.

Reserve your spot now!