Displaying 1-7 of 7 results
Process of breach remediation for insurance intermediaries (CASS)
- Helpsheets and support
- 30 Oct 2025
- PDF (477kb)
- ICAEW Financial Services Faculty
This guide considers some of the areas CASS auditors may wish to consider when assessing the process of breach remediation for insurance intermediaries with CASS 5 permissions.
CASS governance for insurance intermediaries
- Helpsheets and support
- 16 Oct 2024
- PDF (254kb)
- Financial Services Faculty
This helpsheet considers some of the areas that regulated firms and their CASS auditors may wish to consider when assessing the appropriateness of a firms CASS Governance framework. In particular this helpsheet considers CASS Governance for insurance intermediaries with CASS 5 permissions.
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Annual safeguarding audits for FCA regulated firms
- Helpsheets and support
- 21 Dec 2023
- PDF (555kb)
- Financial Services Faculty
This factsheet considers some of the questions and steps regulated firms and auditors/consultants may wish to consider in fulfilling the requirements set out in the Financial Conduct Authority’s (the FCA) guidance for payment services and e-money firms.
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CASS 11 Debt Management
- Helpsheets and support
- 12 Dec 2023
- PDF (415kb)
Debt management activities are defined by the following which is regulated by a set of rules under CASS 11 for client money
Interest earned on client money bank accounts (CASS)
- Helpsheets and support
- 06 Dec 2023
- PDF (497kb)
- ICAEW Financial Services Faculty
This helpsheets provides firms the discretion on whether to pay a client any interest earned on client money balances. How much of the interest that is earned and paid over to the client is subject to a written agreement between the firm and the client.
Client Assets Sourcebook (CASS) and Outsourcing
- Helpsheets and support
- 21 Nov 2018
- PDF (267kb)
- Financial Services Faculty
Information for CASS auditors when determining procedures over outsourcing arrangements and how they apply to the CASS rules.
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Senior Managers and Certification Regime
- Helpsheets and support
- 02 Nov 2018
- PDF (380kb)
- Financial Services Faculty
The Senior Managers and Certification Regime is a new regulatory framework which aims to improve individual accountability.
Displaying 1-7 of 7 results