Client Assets Limited
Services we can provide for you:
1. Free quick CASS review
We will meet you on site and in confidence ask you a series of questions from our checklist to establish whether in general terms you are complying with the CASS Rules. If we together identify any control gaps, we can discuss any update or remediation work that you may wish us to carry out to rectify any deficiencies identified. There is of course no obligation for you to use our services and you can use any information you obtain for no charge.
We will meet you on site and assess that your CASS first and second line of
defencecontrols are adequate and effective and conform to the guidance.
3. Ongoing CASS assurance
We can do any ad hoc work you may require, or we suggest the following for you to gain ongoing assurance from
an independent source:
- We perform an initial "takeon" survey and health check, covering policies, procedures and governance. We would present you with a verbal or written assessment, including recommendations for remedial action where necessary
- We can then return at monthly or quarterly intervals, according to your preference, to conduct checks on your ongoing compliance with the CASS rules.
- We remain available throughout the year for ad hoc consultancy and advice, or to alert you to any relevant changes in legislation or guidance
- We will provide you with a verbal or written reports at each stage of the work as you require
Once you are judged to be in "maintenance" mode, the frequency of periodic reviews may be reduced, while the on-call advice and consultancy can remain for as long as you require.