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CASS Audits 2021

Brought to you by ICAEW Financial Services, this webinar recording gives a high-level run through of all you need to know regarding the CASS rules. Perfect for those planning for their CASS audit as well as practitioners preparing for their clients.

Listening to this webinar will:

  • prepare for your upcoming CASS audit and know what to expect from your CASS auditor;
  • for practitioners, plan your CASS audits for your clients. Discover whether they should be undertaking one at all;
  • improve your knowledge of the CASS rules; and
  • learn about proposed changes to the CASS rules in the future.

The reason for this event:

The event will help support you though the technical requirements around CASS audits. This is an area where there are specific requirements set out by the respective regulators and the event seeks to bring together the important points you need to understand to do a CASS audit. Regulated firms will also benefit from the event to understand how their auditors will engage with them and to understand their expectations..

This webinar will help you:

  • Understand the latest regulatory requirements. It will cover what has been said by the regulators, the common breaches and areas where firms have had regulatory fines. It will take a closer look at what the regulators have said about CASS audits in the context of a COVID world where working from home is widespread and the impact of this on key controls is critical.
  • Reconciliations – what does this key CAS concept mean in practice?
  • Governance – CASS audits are about more than box-ticking against a list of regulatory rules. It is also important to look at a firm’s governance? The webinar will cover the expectations set out in the Standard and how you should begin to assess a firm’s compliance, internal audit and its culture.
  • IT controls – A CASS audit means you don’t have to just look at the specific operational controls around compliance with the CASS rules. In addition to a wider assessment of the firm’s governance, you will also have to factor in your view of the firm’s IT controls as this may be an area of weakness.

First broadcast on1 March, 2021

Financial Services Faculty

This webinar is brought to you by ICAEW Financial Services, which offers three memberships: Banking, Insurance or Investment Management. Each membership gives you access to exclusive premium content including practice tips, essential guides, webinars, regular eBulletins and extensive online resources focused on technical information to support your career. For more information about Financial Services Faculty membership and our latest joining offers, please visit icaew.com/joinfsf. For more information about Faculties Online, please visit icaew.com/subscribefo.