CASS Compliance Solutions

Reduce Costs, Manage Risk, Comply with Regulations and Streamline Processes.

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Automate & Manage your CASS Compliance

Are you looking for a CASS tool to manage your compliance? CASS, or Client Assets Sourcebook, refers to the rules and regulations that firms must adhere to anytime it handles client money and assets. For the past decade, since the notorious failure of Lehman Brothers, the Financial Conduct Authority has considered CASS rules and compliance to be a matter of high priority. This means that your firm needs to be compliant with it, and our simple solution is here to help. 

ERIC dashboard


Map CASS Regulations to your Risks & controls
Automate CASS Risk Assessments
Test & Document your Controls
Document your Governance Activity
Report Breaches and Issues & Actions
Assign Activity to Individuals
Produce your Cass Reporting

CASS Core Features

Breach Management

Report and track CASS breaches and mitigation actions.

CASS Rule Monitoring

Identification of CASS rule gaps, CASS control effectiveness and automated alerts of any changes to CASS rules

Governance Reporting

Dashboard and automated CASS governance reporting

The Leading Providers for CASS Compliance Solutions

1RS is one of the fastest-growing RegTech company in the UK. We have gained this title by dedicating time to developing effective solutions that reap the most benefits for companies. One element that sets us apart from our competitors is that our CASS compliance tool has been designed specifically to help manage your compliance and comply with strict regulations. We offer a cost-effective integrated CASS solution tool that can minimise the risk of breach. Not to mention, this governance technology enables all relevant stakeholders full visibility of their responsibilities, risks and controls that they own and how they are operating and whether they are compliant. 

To find out how 1RS solutions change your organisation, contact 1RS & book a demo.


FAQ's - CASS Compliance Solutions

What is CASS Compliance?

In short, the CASS regulatory measures were introduced to help keep your clients' money and asset portfolio completely separate so that the assets and money are not combined in the event of bankruptcy. It’s one of the FCA's client protection regulations that help keep people away from risk in case their financial firm fails. CASS compliance requires the firm to maintain a living CASS risk assessment. This needs to map the CASS regulations to risks in your processes, and the controls that you have to mitigate/reduce the risk. The controls need to be tested to demonstrate compliance with the CASS rules. There are also strict regulations regarding the governance of CASS compliance in your organisation.

How will CASS compliance affect your corporation?

Under the Senior Manager and Certification Regime, individual accountability surrounding the compliance of these regulations has never been higher. It's not just your firm that's at risk; senior managers are also held to personal accountability. This means that firms have a responsibility to both clients and senior managers to comply with the FCA's regulations and requirements. Making sure that your firm has all the necessary requirements in place to ensure you're complying with these regulatory measures has never been more important, so get in touch and let us take care of your company CASS reporting. .

Does your tool help with client money and assets sourcebook protection?

Our CASS compliance tool helps you to follow the rules set within CASS to complete compliance. You can demonstrate every detail of your CASS compliance. Our in-depth reporting is held in high regard in the CASS market for the details we provide to our users. We help you recognise client assets, CASS breaches, client money, as well as the systems in place to make sure everything is running smoothly. By offering such detailed reporting, you’re not only making sure your client money is protected but that none of your staff is liable for SMCR or CASS breaches.