The Personal Investment Management & Financial Advice Association (PIMFA)

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Avoiding CASS Complacency

Your firm has received another clean CASS audit, so what’s the issue? Just because past breaches have not impacted your firm, can you really afford to get by without changing a thing?

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Client Assets Sourcebook (CASS)

CASS (Client Assets Sourcebook) rules ensuring firms safeguard and properly handle client assets and funds.

CASS Compliant? Prove It!

Demonstrating compliance with the CASS rules is still a challenge for some firms, but it need not be. To explain...
04/09/2023

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.

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Published: February 2, 2026
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