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Client Assets Limited

Could you use some assistance?

When some of the largest institutions in the City have fallen foul of the CASS rules, attracting public censure and sizeable fines, how are small to medium-sized firms supposed to gain assurance that they are on the right track?

Transaction Reporting Services exists to help solve this problem. Through our experience of working with a wide variety of clients across the financial services sector, we came to realise that there was a severe shortage of experienced advisors who could provide pragmatic and accurate advice on current and emerging requirements. 

The services we are able to offer your organisation include:

  • Help you to develop a Compliance Monitoring Plan for CASS compliance
  • Assessing your infrastructure and controls to ensure compliance with CASS
  • Reviewing the adequacy of policies and procedures relating to CASS Rules
  • Reviewing the adequacy of MI and Governance relating to CASS Rules
  • Checking that you are submitting complete and accurate CMAR reports
  • Checking that your daily internal and external CASS recs are compliant
  • Alerting you to upcoming changes or revised guidance on CASS

Any of the above items can be provided as a one-off exercise, or combined into a programme of periodic checks, providing assurance throughout the year. 

Use of an external health-check service such as ours can be included as a recurring part of your Compliance Monitoring Programme, demonstrating your commitment to obtaining independent assurance of your compliance with CASS rules.

Please note we do not provide internal or external audit services, rather our aim is to provide a specialised support and assistance service. If you wish us to help you with the above, then we invite you to call us for an informal discussion of how we can help.