CASS compliance is a critical responsibility for investment firms. From custody asset and client money reconciliations to governance, resolution packs and regulatory reporting, firms must demonstrate robust controls while managing increasing operational complexity.
Our latest guide explores the key requirements across CASS 6, CASS 7 and CASS 10, highlighting common challenges, regulatory expectations and practical approaches to building a stronger compliance framework.
In this guide, you’ll discover:
- The key requirements of CASS 6, CASS 7 and CASS 10
- Common compliance and operational challenges facing investment firms
- Best practices for reconciliations, governance and oversight
- How to improve efficiency while reducing compliance risk
- The role automation can play in strengthening financial controls
- Strategies for creating a more scalable and audit-ready CASS framework
Whether you’re reviewing existing processes or planning future enhancements, this guide provides practical insight into the controls, technologies and governance approaches helping firms navigate CASS compliance more effectively.
Download the guide to learn how leading investment firms are transforming CASS compliance through automation and stronger financial controls.