Systems and supplier changes – what could possibly go wrong? Recent well-publicised failures in delivery of client services following system or supplier changes are prompting speculation as to [...]
Calling someone a control freak is generally considered impolite. At least, that’s what I always tell people. While telling others what to do is an important management skill, we’re expected to [...]
Do any of the following mantras sound familiar? – But that’s what they do for all their clients – My supplier looks after x% of the market, so they must be right – [...]
Here is a link to the most recent Press article in which we have been quoted – in ‘The Review’, the journal of the Chartered Institute for Securities & Investment (CISI): [...]
Covering the Essentials As we adjust to what we expect will be a prolonged period of new working practices, this may be a good time to reflect on the adequacy of CASS arrangements in firms whose [...]
The new standard on auditors’ CASS Assurance reports was published in November 2015 and applies to periods starting after 1st January 2016. There were a few whimpers when it came in, but [...]
Now that the PS14/09 changes have been made, some of the challenges involved in providing the necessary transparency, control and governance to ensure on-going compliance with PS14/9 are becoming [...]
Asset Managers continue to require strong management in order to manage profitability and costs and to respond to regulatory and market changes. Walbrook Partners can support all of these [...]
A regulated firm told me the other day that their auditor had qualified their CASS audit report recently, in relation to their CASS reconciliations. The qualification was not because the [...]
Introduction to our CASS Support Walbrook Partners’ subject matter experts have been working with a wide range of firms over the past few years, helping them to achieve compliance with the [...]