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CASS Audits 2022: what you need to know

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:

  • provide an update on the CASS regulatory landscape
  • prepare for your upcoming CASS audit and know what to expect from your CASS auditor
  • for practitioners, plan your CASS audits for your clients
  • improve your knowledge of the CASS rules

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 – Update from the FCA in respect of CASS regulatory landscape
  • Getting the Scoping right – It is fundamental to get the CASS scoping right by understanding the business model and the CASS footprint. Some of the key considerations include understanding of permissions, exemptions and changes in the year
  • Enhancing the testing approach – The webinar will cover the expectations and challenges faced during audit testing in respect of walkthroughs, documentation of systems and controls and the robustness and integrity of the audit evidence
  • Understand the common CASS breaches – What makes a good breaches schedule? In addition, this session will cover some common breaches across CASS 5, CASS 6 and CASS 7 and also cover the common breaches leading to a modified Limited assurance opinion.

First broadcast on 18 January 2022