PIMFA
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Before the FCA initiates a Section 166 review of your firm’s approach to CASS, the regulator typically takes several preliminary steps to assess your firm’s compliance and risk profile. Yet for many firm’s the regulators actions before a s166 is triggered, remain a mystery.
In this FREE 60-minute webinar, we unpick the crucial steps leading up to a Section 166 notice, demystifying the key processes and interactions the FCA undertakes before a review of a firm’s approach to CASS is initiated.
To avoid a painful and costly review of your CASS governance and oversight arrangements, our panel our experts discuss:
1. How the FCA is conducting routine supervisory activities on your approach to CASS in 2024.
2. How the regulator uses data from regulatory submissions and reports to assess and manage your firm’s CASS risks.
3. How a firm’s CASS compliance breaches informs the FCA’s decision-making process.
4. How to identify and assess issues that could lead to a s166 review of your firm’s CASS culture, governance, and organisational arrangements.
5. How to proactively use market intelligence, thematic reviews, and inspections to eliminate weaknesses in your CASS environment.
More about Katharine Leaman
Katharine is a regulatory compliance consultant within Leaman Crellin Limited with a background in both professional practice and the financial services industry. With over thirty years of experience in regulatory risk and governance within the banking, insurance, and distribution, financial services industries, including the FCA. She is a highly experienced compliance expert with an executive leadership background experienced in running compliance functions in banks and dealing with FCA requests and supporting banks in remediating issues identified by the regulators.
More about Priscilla Gaudoin
Priscilla is a certified compliance professional specialising in governance, risk management and compliance. With a career spanning 25+ years, she has previously worked as a consultant providing regulatory advice to firms from various FS sectors. She has also held senior management roles as the Chief Compliance Officer and MLRO.
Priscilla has significant experience in designing and implementing compliance processes and controls as well as risk management frameworks. She is a Fellow of the International Compliance Association and a member of the Chartered Institute of Securities and Investments.
