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Compliance Solutions

A dynamic solution to manage your CASS Compliance and monitor your processes and controls.

  • 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
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Automate & Manage your CASS Compliance

Our CASS Solution enables you to demonstrate your CASS management framework to senior managers, auditors and the FCA.

CORE FEATURES

Breach Management

Report and track CASS breaches and mitigation actions.

Intuitive Interface

Our CASS Solution is easy to use and has been developed with a logical process flow in mind.

CASS Rule Monitoring

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

Interactive Dashboards

Our CASS solution has multiple interactive dashboards, enabling you to focus on what's important to you.

Governance Reporting

CASS governance reporting available in different formats to suit your needs.

Scheduler

CASS enables you to schedule CASS Committee meetings and record the outcomes and actions for audit purposes.

TRUSTED

Trusted Providers of Leading GRC Solutions

1RS has been built and developed by risk and compliance experts. We understand the need for an integrated and flexible GRC Solution, that can meet any organisations operational risk and compliance framework. Our technology enables you to manage the continually evolving regulatory landscape.

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

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FAQs

FAQ's - CASS Compliance Solutions

CASS (Clients Assets Sourcebook) compliance requires the firm to maintain a living risk assessment, which maps the regulations to risks and the controls that you have in place to mitigate those risks.

Controls need to be regularly tested to demonstrate compliance with the rules.

Firms have a responsibility to both clients and senior managers to comply with the FCA’s regulations and requirements.

Under the Senior Manager and Certification Regime, individual accountability surrounding the compliance of these regulations is of critical importance. It’s not just your firm that’s at risk; senior managers are also held to personal accountability.

Our CASS compliance tool enables you to manage the rules set within CASS and demonstrate your compliance with detailed reports.

We have the ability for you to log details of client assets, CASS breaches, client money, as well as the systems in place to help you make sure everything is compliant.

Our solution means you’re not only making sure your client money is protected but that none of your staff is liable for SMCR or CASS breaches.