CASS compliance

Without a robust and effective risk management framework, compliance to the rules set out in the Clients Assets Sourcebook (CASS) can be burdensome, expensive and ineffective, potentially resulting in large fines, and reputational damage.

1RS has experienced CASS resource across all 3 Lines of Defence, to design, implement or enhance CASS risk management frameworks that fit the needs of your organisation, and meets industry standards and regulator expectations.

Mapping of key CASS controls to CASS rules

1RS maintains a central library of industry standard key controls mapped to the individual CASS rule. This allows for quick, simple and effective improvement in key control quality and full transparency of mapping of each control to the individual CASS rule, enabling your organisation to both ensure, and demonstrate compliance.

CASS Risk Management Framework

1RS understand the requirements of CASS compliance. We specialise in CASS implementation and programmes of CASS remediation through to CASS compliance.

Next Steps…

To discuss how 1RS can help your organisation achieve CASS compliance


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What makes a best practice CASS risk management framework?

  • Complete picture of CASS risks within the business processes and systems
  • Detailed understanding of what is being done to manage those risks
  • Clear ownership of the risks & controls
  • Transparency of the effectiveness of the controls and the residual risk exposure
  • Traceability of the controls to the individual CASS rules to ensure and demonstrate compliance
  • Assurance that controls are operating effectively
  • Clarity of the governance framework and tools that oversee CASS compliance
  • Assurance that CASS governance is effective

For more information also see our articles:

How to ensure your firm is CASS compliant

Top 5 reasons why a firm may breach the CASS rules