CASS Compliant? Prove It!
Demonstrating compliance with the CASS rules is still a challenge for some firms, but it need not be. To explain more we get the thoughts of Katherine Leaman, co-founder and lead trainer on The PIMFA CASS Academy and Priscilla Gaudoin, Head of Risk and Compliance at software provider Ruleguard.
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CASS (Client Assets Sourcebook) rules ensuring firms safeguard and properly handle client assets and funds.
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Your firm has received another clean CASS audit, so what’s the issue? Just because past breaches have not impacted your...
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.