The CASS Health Check Workshop - Identifying Weak Spots Before the Auditors Do

Introduction

Audit season is when weak CASS controls are exposed. This virtual classroom seminar explores how to identify and address issues long before external auditors or regulators do. Using current FCA themes, recent audit findings and real-world examples, you will benchmark your own framework against best practice and leave with an actionable health check plan tailored to your firm’s size and complexity.

This interactive session will leave you with a structured approach to evaluating your own CASS control environment, a clear understanding of how to evidence audit readiness, and practical tools to strengthen compliance before issues surface externally.

What you will learn

This live and interactive course will cover the following:

• The most common audit findings and regulatory concerns shaping the current CASS landscape
• How to run an internal “health check” across reconciliations, documentation, and governance processes
• Testing design and operating effectiveness of key controls using a simple diagnostic matrix
• Assessing the quality and completeness of client-asset documentation, MI and sign-off evidence
• Recognising red-flag indicators that lead to audit qualification or FCA intervention
• How to prioritise, track and evidence remediation of control weaknesses
• Embedding continuous self-assessment into business-as-usual governance
• Checklists, templates and self-assessment tools delegates can implement immediately

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.