CASS: Crush Your Next Audit Not Your Budget
Let's face it, all firms want to crush their next CASS Audit, addressing any gaps in their systems and processes in time for their firm's formal CASS audit, but actually achieving these goals can sometimes be a different story.
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Client Assets Sourcebook (CASS)
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.