PIMFA Webinar: How PIMFA Firms Can Successfully Take The Worry, Frustration And Stress Out Of Their CASS Audit Session 2
Demands on CASS firms have never been greater.
Research shows that firms continue to fall foul of time-consuming and expensive CASS audits, and even those firms with a mature understanding of the CASS rules aren’t immune to protracted discussions with their CASS Auditors. The problem often isn’t with knowing the CASS rules – many strategies are well understood – but with execution and application.
In this FREE 60-minute webinar former regulator and co-creator of The PIMFA CASS Academy Katharine Leaman dispels the myths that surround a successful CASS Audit and withstand scrutiny from regulators, auditors and senior managers.
Key webinar discussion topics include:
• The 6 key areas the FCA expects of you to be on top of
• Why CASS breaches can be a force for good
• Why you don’t need more staff or resources to overcome your CASS challenges
Katharine Leaman
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PIMFA Queries Compendium
This Queries Compendium represents PIMFA’s first publication bringing together a selection of the queries raised by our member firms over the past two years. The queries encompass a wide range of regulatory and operational topics, and we have included those that remain most pertinent and of continuing value to our membership.