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 CASS rules. We engage in industry workshops and discussions under Chatham House rules, to discuss and share our views on the latest developments and best practice in the area of CASS compliance.

If you’d like a no obligation, confidential briefing on the latest developments and themes arising in the area of CASS compliance, please get in touch via our Contact Page. We’d be happy to share what we know and explore any areas of concern you might have.

We are also well regarded as providers of CASS training, receiving very positive reviews from attendees. We specialise in translating the rules into real life examples which are relevant to your business and to the attendees. For more information on this, please refer to our CASS Training page.

Why Walbrook Partners?

CASS Support

‣ In depth knowledge and pragmatic interpretation of the rules
‣ A detailed understanding of operational processes, timings, and how CASS fits in to these
‣ Experience of designing client money processes and bank account structures
 External perspectives on market best practice and legal developments
‣ Full independence and a fresh pair of eyes
‣ Investment Management, Platforms, Wealth Management and Life & Pensions specialism and expertise
‣ Experience of having performed reviews for regulators – and in preparation for s166 reviews
‣ We work with clients’ own teams to build internal expertise and a strong foundation for future compliance

CASS Expertise On Call
For many firms, it is hard to justify hiring a permanent in-house expert on the ramifications and requirements of CASS. However the requirements can be complex and the financial and reputational cost of getting it wrong is high. We offer an economically priced on-call facility, enabling clients to draw on our expertise as and when needed for ad-hoc requirements, for a nominal monthly fee.

If you’d like to talk to us about whether such a facility would suit your needs, we’d be glad to discuss your needs in confidence.

Resolution Pack Testing
 We provide client with annual testing of their Resolution Packs, to provide assurance that these are compliant and fit for purpose. The testing looks at the scope and clarity of the content and can provide the CF10a with the assurance required before the annual Board report on this requirement.

CMAR Completion
 We have been helping a number of firms, who have been struggling  with the collection of data and completion of these returns. We’d be happy to support you in the development of streamlined processes and the clarification of the requirements.

Contact Us

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